State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Draft Guidance Could Boost Best-Interest Compliance
By Allison BellIndustry groups hope to keep state regulators from adding new ways to monitor firms and people.
August 27, 2025
Woman Sentenced to Nearly 19 Years for Scamming California InvestorsAlma Perez promised investors guaranteed, no-risk returns, said the state's attorney general.
August 22, 2025
Client of Scamming Ex-Advisor Accuses JPMorgan Chase of NegligenceScott Mason, of suburban Philadelphia, was sentenced to prison for draining millions from wealthy clients.
August 22, 2025
Goldman’s $500M Texas Expansion Takes Shape in DallasThe bank has big plans for relocations, pushing managers to leave spots like New York and London for Dallas and Salt Lake City.
August 18, 2025
JPMorgan Chase Bank Sued Over CD Rollover Rate ChangeA high-interest "relationship" certificate of deposit rolls over to a low rate without warning, a customer complains.
August 15, 2025
'Young-Gun' Investor Charged in Multi-Million-Dollar SchemeMihir Sukthankar defrauded clients, using their money for his personal expenses, Kentucky prosecutors say.
August 12, 2025
Ex-Banker Convicted of Murdering BofA ExecAnthony Duwayne Turner was found guilty of murder, rape and burglary in Michelle Avan's slaying in Southern California.
August 12, 2025
Schwab Faces Cash Sweeps Suit Alleging Elder Financial AbuseThe complaint is among many accusing firms of paying unreasonably low interest on cash sweep balances.