Regulation

The firm's bottom line took a one-time hit from legal expenses even as it recruited advisors and added to its assets.

A new report by the investor advocate bar finds most brokers seeking purges of past customer complaints go unchallenged by securities watchdogs and aggrieved clients.

Thomas Brenner joins his accomplices Perry 'King Perry' Santillo and Christopher Parris in receiving prison sentences for defrauding investors.

Regulators promise to pay special attention to how firms are using technology to not only guide investments but also to protect client data.

Regulators are likley to enter into dialogue with industry about the best way to proceed.

Firms and industry groups warn that the regulator's proposal for reining in robo-advisors and sophisticated investing algorithms would step on their fiduciary duties and Regulation Best Interest.

Jonathan Vincent Glenn's admissions follow his $3 million settlement with the SEC over similar charges.

Mandating the use of pricey arbitrators for retail investor complaints makes no sense — other than to make the process prohibitively expensive, argue two investor advocates.

Citigroup will pay almost $2 million to settle SEC allegation that two of the bank's brokerages recommended trades to customers without appropriately mailing disclosures to them.

Perella Weinberg's self-reporting of violations led to a much smaller fine than those imposed on other firms.