Operations examiner made 'unwelcome romantic overtures' to colleague, suit claims.
Gallagher, Troy Paredes dissent, say new rules give agency too much latitude.
Investor recovery pool for failed private placements balloons by $105 million. Bruce Kelly has the details.
The SEC has warned investors that advisers may be mishandling their assets. The caution comes after examinations uncovered custody-related problems in one-third of the firms reviewed.
Hantz Financial could face class action complaint; 'don't get a do-over'
Seeking to recoup the $5.3 million swindled by 401(k) advocate Matthew Hutcheson, retirement plans could end up with just 25% to 50%. Darla Mercado on the tough road ahead.
Closed door gathering includes Treasury Secretary, consumer protection, CFTC, others.
Fear-monger logic falls short
Actions compromised independence of embattled broker-dealer, TNP Securities, Finra says.
Following a controversial court ruling, Finra could be flooded by reps looking to clean up their BrokerCheck files.
Industry watchdog sets background checks and reviews for arbitrators after one panelist failed to disclose legal problems.
Reps are willing to deal with the 'substantial costs' of a uniform fiduciary duty, says a SIFMA exec — provided the SEC gives clear guidance for compliance.
Gregg, Bentsen hired to lead securities industry group; want DOL to ditch fiduciary reform.
A new SEC will soon be in place. That means SRO champion Elisse Walter will be gone — and with her, the push for a broker SRO.
Stein, Piwowar noted for reaching across party lines; 'working relationship'
Stein, Piwowar not prone to partisanship, observers say; plenty of big issues left hanging
Two pension funds accused the company of collecting “grossly excessive” compensation from securities-lending returns linked to iShares
New regulations for brokers who control their clients' cash will go a long way toward preventing another client rip-off like the Bernard Madoff Ponzi scheme, the SEC commissioner said.
