Regulation

As head of the SEC's enforcement division, Margaret Ryan is expected to pursue the administration's priority on fighting fraud and insider-trading cases, while taking a lighter touch than her precessor with the crypto industry.

Stanley Tulin and his wife, Riki, say they were deprived of more than $19 million by a scam run by their former investment advisors. And JPMorgan, they argue in a lawsuit, could have prevented the whole thing.

The mega bank had tried to resist going before FINRA arbitrators by arguing its brokerage unit wasn't involved in an $8.4 million fraud scheme. The victim and a federal judge disagreed.

The win for Morgan Stanley comes after a recent string of victories against brokers who left for rival firms. But as the outcome in the JPMorgan case shows, firms don't always prevail.

A proposed "model rule" would give state regulators laws they could adopt to bring their marketing regulations for investment advisors in line with the SEC's.

The SEC has quietly approved key rule changes that make crypto ETFs more efficient and appealing to institutions — a symbolic shift toward wider acceptance of digital assets in Washington.

The SEC's $1.8B off-channel communications crackdown shows how paused protocols can lead to crisis.

Morgan Stanley is under investigation by FINRA over how it vetted clients for money-laundering risks, adding to existing federal scrutiny of its wealth-management and trading units.

Chuck Roberts, whose recommendations of structured notes landed the St. Louis firm a nearly $133 million arbitration award, was kicked out of the industry after ceasing to cooperate with a regulatory investigation.

The accusations led to the end of 16 years at the firm.