With spotlight on consumer confusion, harm, some think SEC will be swayed to quicker action reviewing brokerage contracts.
Brokers do a better job at cybersecurity than investments adviser, according to the SEC.
As regulator made it clear it was ready to fight tooth and nail, firm moves to settle, pay a fine.
A new paper by the organization concludes $17 billion estimate of lost retirement savings not substantiated.
Top executives at the firm are among those facing smaller bonuses after a year of discouraging financial results.
Republican Piwowar criticizes Finra's plan for a massive brokerage data collection mechanism, asking whether it's a "solution in search of a problem."
Regulators are steamed by B-Ds that mark up postage charges to clients. You can't blame them. In some cases, brokerages are socking customers up to $75 per transaction.
A new array of developing legal risks awaits unwary retirement plans and their advisers.
Judges said the firm must face a class-action lawsuit on mortgage debt in bond funds.
<i>Breakfast with Benjamin</i>: Plus: Buffet's opaque empire, Obama's regulatory plans and New York's efforts to keep its meat hooks in tax refugees.
The dominance of algorithms in trading means advisers need to re-evaluate their processes
Lisa McAlister, the company's former chief accounting officer, pulls her defamation suit, in which she claimed she was a scapegoat for a $23 million accounting error.
Plaintiffs claimed defense contractor breached fiduciary duty, mismanaged funds.
<b>Breakfast with Benjamin:</b> Where the price of oil is likely to settle. Plus: On the responsibility of retirement plan sponsors and mutual fund directors; don't get blown away by the new jobs report and banks pass stress tests with flying colors.
Largest ETF firm wins victory in case questioning its lucrative securities-lending business.
Some agree with concept but argue that short treatment lumps everyone together and lacks nuance.
After Dodd-Frank, SEC relying more on own judges. Regulator claims practice is more efficient, but lawyers say it puts defendants at a disadvantage
Andrew Ceresney espoused the agency's increased use of in-house judges before a congressional panel, while steering clear of the debate over raising investment-advice standards.
Piwowar says agency should avoid the appearance it is using administrative law judges in enforcement cases to improve chances of success.
Jacob Frydman is focus of complaint that alleges plaintiff was fired for reporting 'certain improprieties' to Finra.
