A Financial Industry Regulatory Authority arbitration panel has ordered Wells Fargo and one of its financial advisors to pay ...

After receiving overwhelming support on the Senate floor last month, the Social Security Fairness Act, which aims to restore ...

The Securities and Exchange Commission has written off nearly $10 billion in enforcement penalties in the past 10 years that ...

In all, J.P. Morgan sought nearly $40 million in damages, Finra said. In a counterclaim, Turley requested that the claims be ...

Following the marketing rule's compliance deadline in November 2022, Atlas Financial made false and misleading claims about ...

The wealthiest Americans — those in the top 20% — can in fact spend an estimated $773,000 to $1.165 million more over a ...

Since rolling out in January last year as one of a dozen spot Bitcoin ETFs that the Securities and Exchange Commission ...

Morgan Stanley added that Muccigrosso has reimbursed the firm, according to BrokerCheck.

The industry's self-regulator claims that from February 2014 through November 2024, UBS sent more than 330 million trade ...

Order in the court? Financial Advisor IQ today is looking back at the most popular legal and regulatory stories among ...

Advisors were increasingly drawn to high-commission structured notes as downside protection and yield from fixed income ...