Regulatory actions and programs

The regulator details numerous (and familiar) compliance failures in its annual summary of exam findings.

Why new rules won’t necessarily prevent bad behavior.

Like everything else on Wall Street, this dispute is about the bottom line.

The case involves allegations of improper use of the 83-year-old investment bank’s trademark and name.

The cases are among a series of such obstacles UBS has faced since the start of the financial crisis, including a $1.5 billion fine in 2012 for rigging the Libor benchmark.

There are good reasons to worry that brokers are unfairly maligned.

FINRA says the firm did not disclose necessary client issues or hacking attempts.

A lawsuit filed by an ex-client was granted class action status after the firm failed to keep the dispute out of court.

The settlement is the latest cost for Wells Fargo stemming from a phony accounts scandal that erupted in September 2016.

When two agencies are probing your firm, it doesn’t hurt to ask that they coordinate their efforts.

A Florida court will hear a client’s claim that the firm charges processing fees that had ranged as high as 10 times more than the stated purpose: transaction and clearing costs.

It’s the latest sign the SEC is taking seriously complaints that fees for market data are too high.

Observers expect only modest changes from comment letters, and look ahead to a vote to enact new advisor and broker regulations.

High-yield notes offering 10% to 18% in annual returns turned out far less lucrative than promised.

The advisor allegedly sold $13 million worth of high-risk securities without disclosing that she earned commissions of up to 18%.

How to report a transaction that should have been disclosed to regulators long ago, but wasn’t.

The broker, Michael Siva, was one of seven people charged with securities fraud last year.

With Elad Roisman’s appointment, Republicans could have a big advantage at the SEC by year end.

Instead, Chairman Jay Clayton should be looking for a quicker way for companies to move from private to public markets, and back.

The Biltmore Capital fund was dissolved at an almost total loss, but not before Caleb Overton raised $2.2 million from 10 investors.