State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
LPL Underpaid Employees, Lawsuit Claims
By Dinah Wisenberg BrinAn LPL support specialist alleges the firm short-changes employees on sick pay, overtime and expense reimbursement.
July 29, 2025
Blackstone Exec Killed in Manhattan ShootingWesley LePatner, who ran the firm’s $53 billion real estate fund for wealthy individuals, died Monday.
July 28, 2025
Small-Business Owners Aren't Claiming 401(k) Startup Credits. What Gives?A new analysis shows only about 5.5% of “apparently eligible” firms claim the credit.
July 18, 2025
What If Life Insurance Applicants Know They Have Harmful Genes?The ALS Association wants to block life insurers from rejecting applicants based on screening test results.
July 17, 2025
Ameriprise Affiliate Defamed Departing Advisor in Mass Email, Lawsuit SaysThe email left Armando Merino's clients "concerned" and "horrified," he alleges.
July 09, 2025
Ex-Merrill Advisor Accused of Stealing Nearly $2.6M From Retired Miami DolphinIsaiah T. Williams Jr. was arrested and released on a $1 million bond.
July 02, 2025
Widow Sues Fidelity Over Husband's Account in Beneficiary Designation CaseLeslie McCarthy contends that her late husband planned to share the account with her.
June 27, 2025
Trial Underway for Ex-Banker Charged With Murdering BofA ExecAnthony Duwayne Turner is fighting charges that he killed Michelle Avan, his former girlfriend.