Lawsuit filed on behalf of a potential class of 12,000 client associates seeking compensation for unpaid overtime work between 2010 and 2012
Arguments on tap in two cases that could mean all or nothing for same-sex marriages.
Congressional group says stiffer standards of care would force advisers to abandon smaller clients
Suitability and due-diligence cases led the enforcement tally.
Senate Banking Committee set to question SEC nominee.
Bipartisan proposal actually has a shot of passage
Levies of up to 12 percent part of bank rescue plan; citizens of divided nation united against scheme
Data reveals that Finra up its fines in 2012 by 15 percent. Disciplinary actions were up as well. Dan Jamieson breaks down the numbers
Finra looking into why his brokerage allegedly failed to turn over requested documents
Tracking investment strategies remains a focus.
A panel discussion at TD Ameritrade Inc.'s fall regional conference on Tuesday drew heated discussions.
On the lam for five years, fugitive hedge fund manager Florian Wilhelm Jurgen Homm was busted at the Gallery of the Uffizi in Florence.
The Securities and Exchange Commission may move ahead with "harmonization" of broker and investment-adviser rules before deciding whether to propse a rule that would raise investment-advice standards for brokers. That is creating concern in the adviser community.
New Senate banking committee leader says uniform fiduciary duty should be a priority.
Agency is signaling that it first may adjust the rules governing brokers and investment advisers
Moves this week by Finra and the SEC signal watchdogs are ready to pounce on anyone overcharging clients.
