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Regulation & Compliance

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Regulation & Compliance
Former Wells Fargo Advisor Pleads Guilty to Stealing $3M+ from ClientsFormer Wells Fargo Advisor Pleads Guilty to Stealing $3M+ from Clients

Kenneth Welsh pleaded to five wire fraud counts that carry a maximum penalty of 20 years in prison each.

byPatrick Donachie, Senior Reporter
Nov 21, 2024
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1 Min Read
prison
Regulation & Compliance
Former Wells Fargo, Stifel Advisor Sentenced to 3+ Years for $4M Health Insurance SchemeFormer Wells Fargo, Stifel Advisor Sentenced to 3+ Years for $4M Health Insurance Scheme
byPatrick Donachie
Nov 19, 2024
1 Min Read
SEC Chair Jay Clayton
Regulation & Compliance
Trump Taps His Ex-SEC Chair Jay Clayton as US Attorney for ManhattanTrump Taps His Ex-SEC Chair Jay Clayton as US Attorney for Manhattan
byAva Benny-Morrison and Chris Dolmetsch
Nov 15, 2024
1 Min Read
invesco
Regulation & Compliance
SEC Fines Invesco Advisers $17.5M For 'Misleading' ESG ClaimsSEC Fines Invesco Advisers $17.5M For 'Misleading' ESG Claims
byPatrick Donachie
Nov 8, 2024
1 Min Read
Morgan Stanley
Regulation & Compliance
Judge Reaffirms Morgan Stanley Deferred Comp Plans Fall Under ERISAJudge Reaffirms Morgan Stanley Deferred Comp Plans Fall Under ERISA
byPatrick Donachie
Nov 7, 2024
1 Min Read
Donald Trump election night family speech
Regulation & Compliance
What Will Financial Services Regulation Look Like Under Trump?What Will Financial Services Regulation Look Like Under Trump?
byPatrick Donachie
Nov 6, 2024
1 Min Read
Donald Trump Kamala Harris
Regulation & Compliance
Harris or Trump: Different Regulatory Paths Impacting Advisors
Harris or Trump: Different Regulatory Paths Impacting Advisors
Nov 5, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC: Firm Used Athlete Endorsements Without Disclosing Payment
SEC: Firm Used Athlete Endorsements Without Disclosing Payment
Nov 4, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
RBC windows
Regulation & Compliance
FINRA Orders RBC To Pay $9.7M In Age Discrimination Case
FINRA Orders RBC To Pay $9.7M In Age Discrimination Case
Nov 1, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
jp-morgan-madison-avenue
Regulation & Compliance
J.P. Morgan to Pay $150M to Settle Slew of SEC Charges
J.P. Morgan to Pay $150M to Settle Slew of SEC Charges
Nov 1, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Survey: Most Advisory Firms Lack AI Safeguards
Survey: Most Advisory Firms Lack AI Safeguards
Oct 29, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
SIFMA Accuses CFP Board of Acting As 'De Facto' Regulator
SIFMA Accuses CFP Board of Acting As 'De Facto' Regulator
Oct 28, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
ballots election I voted stickers
Regulation & Compliance
Regulation, Wealth Management and the Elections
Regulation, Wealth Management and the Elections
Oct 24, 2024
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1 Min Read
byMark Quinn
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Regulation & Compliance
State Regulators Receive More Tips in 2023
State Regulators Receive More Tips in 2023
Oct 23, 2024
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1 Min Read
byDiana Britton, Managing Editor
SEC Seal
Regulation & Compliance
AI Usage Top Priority for SEC Examiners in 2025
AI Usage Top Priority for SEC Examiners in 2025
Oct 21, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA-HQ.jpeg
Regulation & Compliance
FINRA Warns Of Phishing Email Scam Impersonating Regulators
FINRA Warns Of Phishing Email Scam Impersonating Regulators
Oct 10, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Charges Cetera Duo for Cherry-Picking Trades
SEC Charges Cetera Duo for Cherry-Picking Trades
Sep 30, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
A Merrill Lynch sign.
Regulation & Compliance
Merrill, Harvest Volatility Management Pay $9.3M to Settle SEC Charges Over Excess Fees
Merrill, Harvest Volatility Management Pay $9.3M to Settle SEC Charges Over Excess Fees
Sep 25, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
Stifel, Invesco Among 11 Firms Paying $88M To Settle SEC Off-Channel Communications Violations
Stifel, Invesco Among 11 Firms Paying $88M To Settle SEC Off-Channel Communications Violations
Sep 24, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
'Biblically Minded' Firm Settles SEC Charges Over Misleading Strategy
'Biblically Minded' Firm Settles SEC Charges Over Misleading Strategy
Sep 19, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-seal-new.jpg
Regulation & Compliance
Broker/Dealer First Horizon Hit with Reg BI Violation Over Structured Notes Recommendations
Broker/Dealer First Horizon Hit with Reg BI Violation Over Structured Notes Recommendations
Sep 18, 2024
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1 Min Read
byDavid Bodamer, Executive Editor, Investments
digital hacker crypto fraud
Regulation & Compliance
SEC: Global Fraudsters Targeted Crypto Investors with 'Relationship Scams'
SEC: Global Fraudsters Targeted Crypto Investors with 'Relationship Scams'
Sep 17, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Wells Fargo
Regulation & Compliance
Wells Fargo Fined $3M For Missing 'Unsuitable' Short-Term Trades
Wells Fargo Fined $3M For Missing 'Unsuitable' Short-Term Trades
Sep 12, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
New York Stock Exchange american flag
Regulation & Compliance
SEC to Vote Next Week on Part of US Stock-Trading Revamp Package
SEC to Vote Next Week on Part of US Stock-Trading Revamp Package
Sep 12, 2024
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1 Min Read
byLydia Beyoud and Katherine Doherty
etoro-sign-wall.jpeg
Regulation & Compliance
SEC Fines eToro $1.5M For Acting as Unregistered Broker Over Crypto Trading
SEC Fines eToro $1.5M For Acting as Unregistered Broker Over Crypto Trading
Sep 12, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-building-new.jpg
Regulation & Compliance
SEC Charges Tennessee Advisor with Faith-Based Strategy of Defrauding Investors
SEC Charges Tennessee Advisor with Faith-Based Strategy of Defrauding Investors
Sep 11, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Headquarters
Regulation & Compliance
RIAs to Pay $1.2M To Settle SEC Marketing Rule Violations
RIAs to Pay $1.2M To Settle SEC Marketing Rule Violations
Sep 9, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Raymond James
Regulation & Compliance
FINRA Fines Raymond James $1.9M Over Client Complaint Reporting
FINRA Fines Raymond James $1.9M Over Client Complaint Reporting
Aug 30, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Elizabeth Warren-US senator-MA-1.png
Regulation & Compliance
Warren Presses Wall Street Regulator to Explain Decline in Enforcement Actions
Warren Presses Wall Street Regulator to Explain Decline in Enforcement Actions
Aug 29, 2024
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1 Min Read
byLydia Beyoud (Bloomberg)
The Merrill Lynch bull logo.
Regulation & Compliance
Merrill Pays $3M To Settle FINRA Claims Of Poor Trading Surveillance
Merrill Pays $3M To Settle FINRA Claims Of Poor Trading Surveillance
Aug 29, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Raymond James
Regulation & Compliance
Raymond James Facing Two Lawsuits Over Cash Sweep Program
Raymond James Facing Two Lawsuits Over Cash Sweep Program
Aug 29, 2024
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1 Min Read
byDiana Britton, Managing Editor
Treasury Department
Regulation & Compliance
Treasury Department Finalizes Anti-Money-Laundering Rule for RIAs
Treasury Department Finalizes Anti-Money-Laundering Rule for RIAs
Aug 28, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Ken Leech Western Asset Management
Regulation & Compliance
Wamco’s Longtime Bond King Thrust Into Spotlight He Shunned
Wamco’s Longtime Bond King Thrust Into Spotlight He Shunned
Aug 22, 2024
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1 Min Read
bySilla Brush and Michael Mackenzie
Ameriprise came in second with 7540 advisors last year
Regulation & Compliance
Ameriprise, LPL Face More Cash Sweep Suits
Ameriprise, LPL Face More Cash Sweep Suits
Aug 22, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
FTC building non-compete clauses
Regulation & Compliance
FTC Ban on Worker Noncompete Deals Blocked by Federal Judge
FTC Ban on Worker Noncompete Deals Blocked by Federal Judge
Aug 21, 2024
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1 Min Read
byMadlin Mekelburg

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