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Legal & Compliance

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Notorious Credit Suisse Bonds Sped Up Ken Leech's Alleged Fraud

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Investors in a risky pool of Credit Suisse bonds got crushed when the notes were deemed worthless by regulators.

Bitcoin, Ether ETFs Log Record Inflows On Trump's Embrace Of Crypto

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Donald Trump has vowed to scrap Biden's digital-asset clampdown and appoint friendly regulators.

SEC To Target Reg BI Compliance, Hybrids And Hefty Fees In 2025 Exams

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The agency says its examiners will be on the lookout for improper fees and undisclosed conflicts.

Musk Calls For Abolishing Consumer Finance Agency: ‘Delete CFPB'

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Musk's move signals a new stage in a long-running Washington fight over the agency's powers and very existence.

Trading Titan Don Wilson Says It's Time To Get Rid Of SEC

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The debate over securities industry regulation has heated up since Donald Trump's presidential election victory.

Renowned WAMCO Bond Fund Manager Ken Leech Charged With $600M Fraud

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Regulators and the DOJ said Leech directed profitable trades to favored clients over three years.

Broker-Dealers In SEC Crosshairs For Pricier Funds

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J.P. Morgan's $151 million settlement shows the risks of advisors using pricier funds without explaining why.

In Search Of The Perfect Deal

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M&A activity and the establishment of new firms require strict compliance and due diligence, this law firm says.

Finra Is Dealt A Blow By Court In Its Power To Expel Brokerages

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The agency must let the SEC weigh in before it can cast out one of its members, an appeals court said.

Robinhood's Gallagher Drops Out Of SEC Chair Consideration

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Dan Gallagher says he's committed to Robinhood.

DOL Accused Of Leaking Plan Info To Plaintiff Lawyers

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Republican Rep. Virginia Foxx called on the department's inspector general to investigate the leaks.

Ex-Wells Fargo Advisor Pleads Guilty To Fleecing Clients Out Of $3M

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Prosecutors said Kenneth Welsh stole money from five clients and used it on gambling and luxury gifts for himself.

Ex-Stifel Advisor Gets 41 Months For $4M Prescription Fraud

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Kaival Patel of New Jersey hatched a scheme to get reimbursements for fraudulent prescriptions, prosecutors said.

Wall Street's Top Cop Plans To Exit Before Trump Takes Power

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U.S. Attorney Damian Williams has privately told people he will step down, sources said.

Navigating The Charitable Deduction Minefield: Insights From The IQ Holdings Case

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The IRS maintains strict standards for charitable contribution deductions. Here are some practical steps to ensure compliance.

Hightower Sues Seattle Advisor, Says It Colluded With Ex-Employee To Steal Clients

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The lawsuit is the latest chapter in an ongoing legal battle between Hightower and one of its former advisors.

Financial Industry Holding Its Breath On Next SEC Chief

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SEC Chairman Gary Gensler hasn't given any hints on whether he'll step aside with the coming of Donald Trump.

Ex-Managing Director Ravich Sues TCW Over Firing ‘For Cause'

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TCW sued Jess Ravich earlier this year, alleging his sexual misconduct has cost the firm millions of dollars.

Osaic's B-D Fined $250K For Trading In Dead Customer's Account: Finra

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A broker reaped commissions from a 91-year-old woman's account for six months after her death, Finra said.

SEC Bars Advisor Who Allegedly Lied To Clients About His Firing

by FA Staff

Sean Kane of Philadelphia also impersonated clients to access their accounts and conduct transactions, the agency said.

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