Regulation

The giant wealth management firm allegedly made inaccurate representations to the regulator involving the call logs on two of its internal network drives.

Lawyers see many reasons for concern when discussing the asset class with investors, but not enough to avoid talking about it and learning about it.

A retired dentist won a huge FINRA arbitration award after accusing his best friend and longtime broker of trading in tech stocks without his consent.

Bradley Goodbred allegedly defrauded a widow in her 90s through a real estate investment scheme, the latest example of a rising number of scams targeting seniors.

FINRA accused FSC, Royal Alliance, SagePoint and Woodbury of "negligently omitting material facts" about an alternative asset manager, FINRA said.

Goldman Sachs Group will pay $4 million to settle U.S. regulators' claims that its asset management unit didn't properly weigh environmental, social and governance factors in some of its investment products.

For several years after the breakdown of a deal to sell a practice for $3.6 million, the parties have been accusing each other of violating the terms.

CapWealth Advisors founder Tim Pagliara said a federal jury sided with the firm because its clients had, in fact, paid lower overall fees on their mutual funds.

Consumer advocates cheered the outcome of the case and the regulator's enforcement push in recent years. Commonwealth's case is still pending.

An attorney for Keith Todd Ashley said he plans to appeal his fraud conviction and plead not guilty to capital homicide.