SEC enforcement

Since this March, almost 100 firms have settled with the regulator for approximately $173 million. Other cases are still pending.

Although FINRA cannot investigate potential wrongdoing by these former employees, state regulators are expected to do so.

The IBD’s corporate RIA didn’t require about 350 banks to provide clients the terms of its arrangement.

The employee and independent BD collected excess UIT commissions and failed to properly review inactive accounts, the regulator says.

The agency's goal of trying to recover client losses allows advisors accused of fraud to decide who'll manage their clients’ remaining assets.

The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.

The SEC published more than 1,300 pages of regulatory information. Here's what advisors need to know.

The IBD failed to adequately disclose conflicts of interest to clients related to receiving $10.8 million from mutual funds and its clearing broker, the SEC says.

IFS has notified regulators about the alleged illegal trades, which sources say cost the firm more than $10 million.

Critics reject the notion that disclosure alone is sufficient for reigning in conflicts — but the charges against Commonwealth have put BDs on notice.

The firm didn't disclose its conflicts of interest in receiving over $100 million in revenue sharing from mutual funds over nearly five years, the SEC says.

A barred broker told clients the lifestyle media company was about to be acquired, so “they needed to act quickly,” according to the regulator.

Clients seeking to recoup some $14 million in damages have received only 12% of their total claims, according to an SEC-appointed receiver.

With transparency about conflicts on the rise even as it varies by firm, critics question whether clients really understand complicated technical documents.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

The allegation was laid out in an SEC order, which hit a U.S. unit of the firm with a $500,000 penalty.

Audit volume is up but compliance issues are down — with cybersecurity as the wild card.

The justices said bankers can be held liable for sending clients deceptive information written by others.

The firm’s founder “knowingly engaged in a multi-year scheme to mask the poor performance of one of the funds’ largest investments,” the SEC alleged.

The independent broker-dealer accidentally published a list of credits of its most lucrative advisors.