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Legal & Compliance

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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.

JPMorgan Broke Whistleblower Protection Rule, SEC Alleges

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The bank agreed to pay a $18 million fine to settle the probe.

Former Citi, Wells Fargo Rep Faces Criminal Charges For Alleged Movie Fraud

by FA Staff

Helen Caldwell of Chicago swindled three clients out of $1.5 million, prosecutors said.

Scam Artists Are Masquerading As Financial Advisors, Finra Warns

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The regulator says it has seen a "significant spike" in complaints about fake RIAs.

Crypto Skeptic Gary Gensler Becomes Reluctant Backer Of Bitcoin ETFs

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The SEC chairman capitulated on spot bitcoin ETFS, but he said investors should "remain cautious" about crypto investments.

Morgan Stanley To Pay Under $300 Million To Settle Trading Probe

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The probe partly looked at whether employees shared or misused information about impending transactions.

Finra Sidelines Five Reps For Using Imposters To Take CE Exam

by FA Staff

The Northwestern Mutual and Pruco reps were suspended for one month and fined $5,000.

CFP Board Is Sole Advocate For Fiduciary Rule At House Hearing

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Lawmakers and industry witnesses called proposal "a solution in search of a problem."

CFA Level I Pass Rate Drops To 35%

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It's the lowest pass rate for the Level I test since 2021.

Finra Examiners Detail Reg BI Failures In New Report

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The agency's exams also brought to light issues with cryptocurrency.

DOL Releases Latest Independent Contractor Rule

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FSI said the more expansive rule threatens independent advisors' contractor status.

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