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.