Concerns about private placement sales to less-than-sophisticated investors could get aired in Congress yet again.
Regulators have approved a change to stop brokers who have been ordered to pay an arbitration award from using an empty-pockets excuse to keep their license.
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The arrest of a "financial advisor to the celebs" on fraud charges is once again putting the issue of establishing and maintaining client trust front and center.
The SEC today charged a New York City-based financial advisor who has advised celebrity clients including Wesley Snipes and Sylvestor Stallone with running a multimillion investment fraud.
FInra is seeking to expand its oversight of securities professionals to back-office workers who provide sales and trading support and handle investor assets.
A securities arbitration panel has ordered Ameriprise Financial Services Inc. to pay nearly $470,000 to an investor, including sanctions and legal fees.
Insurance organization's bid to sink the fiduciary standard misquotes, irks SEC commissioner.
A proposed fiduciary standard for all financial advisors is back in play as the U.S. Senate debates financial services reform-and backers of the measure may have Goldman Sachs to thank.
Two financial advisors and their firm must pay nearly $1.9 million after being accused by the advisors' former employer of allegedly breaching their contract and stealing trade secrets.
A lack of fiduciary standards for the industry means that you have a competitive advantage when you put the client first.
Finra remains concerned about the inappropriate sale of annuities to seniors, and its examinations of firms continue to raise red flags on the issue.
Lloyd Blankfein's support of a fiduciary standard for retail brokers now seems like nothing more than a bone thrown at financial reformers.
The limited role assigned to the SEC's new compliance chief may unwittingly help the agency's critics, who have turned up the heat in response to the government's push for tougher regulations and...
The recent SEC complaint against Goldman Sachs Group Inc. has brought newfound attention to the "fiduciary standard."
The new director of the SEC's Office of Compliance Inspections and Examinations says the agency has ushered in a "new day and a new regulatory approach."
An enforcement case against a small brokerage in upstate New York shows that fraud may lurk not only on Wall Street, but also off the beaten track.
The Securities and Exchange Commission has charged a California man with running a fraudulent investment operation that raised $3 million from the public.
Legislation to reform the financial system not only proposes regulatory changes, but also asks for lots of studies by the SEC.
For the first time, the CFP Board of Standards is posting sensitive information online about actual misconduct cases that have come before it for the public and financial advisors to see.