Former broker in San Francisco claims firm did not reimburse reps for expenses.
Excessive fees, as well as the retention of a low-yielding money market fund, were at the heart of the lawsuit.
A footnote in regulator's settlement letter to Fifth Third outlines factors affecting the size of the fine.
New regulation requiring brokers to disclose their markup or markdown on corporate and municipal bonds goes into effect today.
Commissioner says agency's past 'broken windows' philosophy put undue pressure to keep pushing up the number of enforcement actions.
The tax reform law's two significant changes to the way taxpayers deduct interest on loans related to their home both contain exceptions
Iowa insurance regulator asserts the current rule is protecting investors and worries that the SEC is defining 'best interest' differently than what it means under state law.
The proposal package, filled with questions, is likely to generate hundreds of letters.
Organization succeeds in removing provision from Louisiana legislation.
GOP commissioner says he will step down by July 7.
Commissioner set to leave agency July 7, about a month before proposal's comment deadline hits.
Former broker in Philadelphia sentenced to prison and to pay $886,214 in restitution to clients.
Agency says advisers must make good-faith compliance efforts to rely on exemptions
State will let homeowners declare property taxes as charitable donations.
State securities regulators release first statistical snapshot of sector.
In recent speech, SEC chairman Jay Clayton touted 'consistent, fiduciary principles.'
California Supreme Court's Dynamex decision could force other companies in the state to rethink their relationship with workers.
Two Colorado insurance agents who sold the Woodbridge real estate scheme continue to market themselves as retirement planners
Scammers and even family members target the most vulnerable.
Anti-fiduciary forces may find it easier to challenge the SEC's proposed rule now that the Department of Labor's regulation is all but dead.
