A bank-based broker takes Citizens Bank to arbitration for failing to meet some lofty recruitment promises, and wins $1.5 million. Now others are making similar claims against the bank.

Assets under management at the fund have declined 13 percent from their peak last September.

Wine mogul Peter Deutsch lost his claim for compensation from the brokerage of accused mishandling of his account.

Goldco releases a Bitcoin IRA, Ernest Romer III is accused of defrauding clients, and SIFMA redesigns its website to avoid "bottomless silos of information."

Steven Peiken, the new co-head of enforcment, held as much as $9 million worth of stock and William Hinman, the SEC's director of corporate finance, represented big banks and technology companies.

Dozens of tips over three years were passed from an ex-Bank of America consultant to his girlfriend's father.

How to start a newborn on the road to retirement, VanEck files for a bitcoin ETF, and eMoney opens a Rhode Island office.

Girard is the latest firm to deregister its broker/dealer and join a larger firm as an OSJ, shedding regulatory and operational burdens. The DOL rule was the tipping point. "I don't know how in the world we could have done it as a small firm."