If adopted in any given jurisdiction, the rule would require state-registered investment advisors to develop physical security and cybersecurity policies and procedures.

There’s a shared desire among many to reinstate key elements of the DOL’s fiduciary rule.

Based on back-testing, firms that FINRA has identified through a new rule proposal presented higher risk of future misconduct events.

Gov. Phil Murphy said the bill runs counter to the state's efforts to improve consumer protections, including its recent fiduciary rule proposal for financial advisors.

The Swiss multinational investment bank continues to face compensation claims from brokers after shuttering its U.S. banking unit in 2015.

Massachusetts Secretary William A. Galvin alleges Janney Montgomery Scott didn't properly supervise a broker who frequently bought and sold high-fee mutual funds to boost his commissions.

The broker/dealer owes $772,000 in fines and restitution, according to a FINRA sanction against the firm.

The couple said their AXA broker sold them high-end, high-commission annuities and life insurance policies they didn't need.

They streamline the process with existing E.U. regulations.

A New Jersey woman claims a broker with Wells Fargo Advisors Financial Network used proceeds of her late husband's life insurance policy to invest in speculative options and volatile non-income-producing individual securities such as Facebook.