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Legal & Compliance

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FSI Could Ramp Up Another Suit Against DOL Fiduciary Rule

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The trade group's president said its appeals to the Department of Labor have fallen on deaf ears.

Securities America Appeals $95K Finra Arbitration Penalty

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The company is arguing a Finra arbitration panel incorrectly awarded damages to one of its former brokers.

Experts Debate The Fate Of Small RIAs

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A look at the diversity of different RIA models reveals many are growth-challenged.

FSI Asks SEC To Police “Regulation By Enforcement”

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New white paper asks regulator to create policies and internal audits to eliminate unfair practices.

Citibank Sued By New York State Over Online Fraud Safeguards

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The bank is accused of failing to sufficiently protect customers from fraudsters.

Ex-Morgan Stanley Broker Criminally Charged For Alleged $3.5M Fraud

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Jesus Rodriguez of El Paso, Texas, allegedly robbed the accounts of 10 clients.

Hedge Fund Demands $100 Million From Its Compliance Team After SEC Probe

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Chatham claims the outside consultant failed to prevent trading practices that ran afoul of authorities.

Aon Investments Fined $1.5M Over Incorrect Pension Statements

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The faulty performance statements caused wide-ranging disruptions for the Pennsylvania pension fund, the SEC said.

SEC Ramps Up Investor Protections For SPAC IPOs

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The new rules require enhanced conflicts disclosures and guardrails for earnings projections.

DOL's Fiduciary Rule Will Cost Advisors $2.7B In First Year, FSI Says

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That's 11 times more than the agency has estimated, the independent broker-dealer industry group said.

J.P. Morgan Sues Ex-Advisor, Accuses Him Of Poaching Clients

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The wirehouse alleges Nader Joseph Al-Mooshi is soliciting a group of its clients that is worth $420 million.

SEC Probes B. Riley Deals With Client Tied To Failed Fund

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Regulators are investigating the firm's relationship with a client linked to a securities fraud.

Wells Fargo Fined $425K For Trade Disclosure Failures, Finra Says

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The bank failed to report exact prices on millions of client trades, the regulator said.

Wall Street Counterattack On Gensler Hits SEC's Foundations

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Lawsuits challenging the commission and its powers are striking at the very foundations of the SEC.

Advisor Gets 18 Months For Ripping Off NYC Police Union

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The advisor and the union's president conspired to steal money from the fund for eight years.

Robinhood To Pay $7.5M Fine To Mass. Over 'Gamification' Strategies

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The trading platform used lottery-style scratch-off tickets and other gimmicks to attract investors, regulators said.

Companies Are Still Trying To Figure Out How To Comply With SEC Cyber Rules

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Under the new rules, public companies have to report on the impact of a material hack.

Client Accuses Ameriprise Of Selling Him Almost $800,000 In 'Unsuitable' Annuities

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John R. Marshall said he was put in the products by a now deceased Ameriprise rep he trusted.

FSI Renews Legal Fight To Overturn DOL's Independent Contractor Rule

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The IBD trade group claims the rule will force independent reps to become employees or RIAs.

Hack Of SEC Social Media Account Shakes Agency

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A hacker released fake news on the agency's X account.

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