Morgan Stanley’s wealth management division flagged troublesome transactions in the lawyer’s personal accounts, according to a published report.

The attorneys general of New York, California and Oregon are not giving up their fight to save the fiduciary rule just yet.

The SEC created a sham ICO website, Americans are lacking financial plans and John Kennedy co-sponsors Elizabeth Warren’s investor compensation bill.

Two House Republicans questioned the Securities and Exchange Commission's success rate of administrative law judges, but enforcement officials argue that the path is similar to federal court.

Representative Tom MacArthur (R-N.J.) introduced the Securities Fraud Act of 2018 in February, which would give “exclusive federal jurisdiction over civil securities fraud actions.” State regulators are not happy.

The DOL issued a temporary enforcement policy regarding its fiduciary rule, Schwab to open accelerators in Austin and San Francisco and Black Diamond launches a new client portal.

Wealthfront opens its college planning tool to all users, Acorns launches its retirement tool and the SEC builds an online tool to find troubled brokers.

The Fifth Circuit Court of Appeals will not grant AARP’s and states’ requests to rehear the case against the DOL fiduciary rule.

The implementation of GDPR may seem scary, but it really isn’t all doom and gloom.