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Legal & Compliance

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TD Investors Meet As Probe, CEO Succession Fuel Frustration

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The bank's shareholders meeting comes as the firm contends with a probe into its anti-money-laundering controls.

Finra Says It's Focusing On Repeat Offenders, Considering Higher Penalties

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"Bad actors" with a history of repeat violations will be a major priority, Finra's enforcement chief said.

SEC Targets Its Own Staff's Texting, Nixes WhatsApp On Work Phones

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The move follows about $3 billion in fines imposed on financial firms over private messaging.

Advisors Need To Be Careful When Using Fintech Vendors, Exec Says

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Outsourcing technology solutions requires a high level of due diligence, says Ncontracts CEO Michael Berman.

SEC's Market Surveillance Tool Called Unconstitutional In Texas Lawsuit

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The suit accuses the agency of "dystopian surveillance" of U.S. trading activity.

Morgan Stanley Downplays Regulator Queries Into Wealth Management Clients

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The inquiries focus on a wealth management arm that has swelled into Morgan Stanley's biggest business.

Brokerage, Annuities Industries Make Last-Ditch Effort To Delay DOL Fiduciary Rule

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The groups, arguing the proposal has been rushed, asked government officials to get more public input.

IAA Wants Low-Risk Advisors Excluded From Money Laundering Proposal

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The Treasury Department has proposed a rule requiring all SEC advisors to have anti-money-laundering programs.

J.P. Morgan Ordered To Pay Broker $250K In Defamation Case

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A Finra panel sided with a broker who claimed the firm defamed him in a Form U5 filing.

5 RIAs Fined $200K For Violating Marketing Rules, SEC Says

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The SEC has now penalized 14 registered investment advisors in its crackdown on marketing infractions.

Morgan Stanley Drops On Report Of U.S. Probes Into Wealth Unit

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The investigations are looking at the bank's efforts to prevent money laundering, according to published reports.

Final DOL Rule Draws Near As OMB Completes Review

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Observers say the Biden administration is moving swiftly to prevent Republicans from overturning the rule in a new Congress.

Finra Arbitrators May Be Mishandling Broker Defamation Claims, SIFMA Says

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The securities industry group wants Finra to reform how it handles broker termination disputes.

Advisors Leaning More Into Technology, According To Orion Survey

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Only 10% of respondents said they have all the tech they need.

You Can't 'Legislate Good Behavior': What Advisors Really Think About The DOL Rule

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Few in the advisory industry view the fiduciary proposal as a cure-all.

Advisor Scores Restraining Order Victory Against Hightower

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Ex-Hightower advisor Lars Knudsen got a restraining order after accusing the firm of poaching his clients.

Edelman Explains Why The Days Of Advisor Poaching Are Here

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Meanwhile, Mariner's CEO sees advisors missing a huge opportunity.

Commonwealth Hit With $93.3M Judgment Over Revenue-Sharing Conflicts

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The SEC said the firm's revenue-sharing agreement made mutual funds more costly to clients.

JPMorgan Client Who Lost $50 Million Fortune Faces Court Setback

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Peter Doelger and his wife sued JPMorgan over investments they allege never should have been allowed.

Morgan Stanley Lawsuit Alleges Former Rep Is Stealing Clients

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The firm is seeking a temporary restraining order against a former rep at its Newport News, Va., office.

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