Firm settles charges that it failed to provide less expensive share classes.
Most political scares have had short-lived effects on stocks. Here's a look at the big ones.
Settlement claimed firm let brokers sell excessive amounts of alternative investments as a percentage of their clients' total portfolios.
Broker-dealer must pay fine and reimburse the state over 'Robin Hood' case involving disgraced broker serving more than five years in jail for defrauding clients.
Long-running case centers on reasons firm gave for broker's discharge.
Report reflects Trump administration's skepticism of investment-advice regulation for retirement accounts.
Sweeping bill to be released in just five days.
Task force will target widespread problems involving inadequate fee disclosure and unsuitable product recommendations.
Harmonizing between federal agencies and state regulators is a complex task in everyone's best interest.
Jason Charles Parker set about to 'ravage' clients' savings 'without remorse,' arbitrator states
How do firms and brokers or executives continue to make the same sorts of mistakes while Finra and the SEC consistently miss the transgression?
Despite the president's assurances that 401(k) plans would remain as they are, House Ways and Means Chairman Kevin Brady doesn't rule out changes to the retirement accounts.
Investor advocates fear brokerage firms may seek to overturn Finra's rule banning class-action waivers in customer agreements.
'We have a process. They have a process. We have to respect those,' chairman tells SIFMA annual conference.
Hester Peirce and Robert Jackson Jr. believe the brokerage regulator's conduct in this area should be improved.
Fiduciary concerns under ERISA include cost compression, product development and regulatory pressures.
On plaintiff group's agenda: Establishing unpaid arbitration award pool and ensuring SEC doesn't 'water down' DOL fiduciary rule.
GOP reportedly had been considering reducing the cap on the annual amount workers can set aside for 401(k)s.
Suggestions for uses range from establishing funds for harmed investors, those whose arbitration awards go unpaid or giving it to the Treasury Department.
New York Times reports reps may have incentive to push higher-fee managed accounts.
