Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Twin Advisors Found Guilty in $10M Fraud Against 100 Victims
By Dinah Wisenberg BrinOne of the brothers was convicted of obstruction of justice for trying to threaten victims and bribe DOJ officials.
November 17, 2025
Ex-Fidelity Rep Suspended, Fined Over Outside Business ActivityThe rep made $13,000 selling an automated trading algorithm, FINRA said.
November 17, 2025
RIAs Charged With Inflating AUM and Misrepresenting LocationsThe firms claimed that a separate RIA reported information about their private funds on its own Form ADV.
November 17, 2025
Ex-Broker Admits to Insider Trading Scheme Born From PandemicJordan Meadow admitted he traded on information stolen by a friend from his girlfriend’s computer.
November 14, 2025
Ex-Raymond James, Morgan Stanley Rep in Hot Water Over LoansSuspended rep Kirk Crossen faces additional disciplinary action for borrowing $400,000 from an elderly client, FINRA says.
November 14, 2025
IRS: 9 New Retirement Numbers to Know for 2026The agency has released new contribution limits and other changes for retirement plans, including 401(k) and IRAs.
November 13, 2025
IRS Sets 401(k), IRA Contribution Limits for 2026The agency announced a number of cost-of-living adjustments tied to retirement accounts.
November 12, 2025
FINRA Bars Ex-Spartan Capital RepRonald Smith failed to provide all requested information, including electronic communications, concerning excessive trades, FINRA said.