State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Ex-Broker Pleads Guilty to $9.5M Ponzi Scheme
By Dinah Wisenberg BrinEdwin Emmett Lickiss Jr., 78, admitted to defrauding investors over 26 years.
May 22, 2026
$3B Wells Fargo Team Launches RIA Gryphon WealthThe Florida-based firm works with TradePMR, led by Robb Baldwin, and will use the BD's Fusion platform.
May 20, 2026
How to Avoid Beneficiary Designation Horror StoriesAdvisors who fail to regularly review these documents with clients may regret it in time.
May 20, 2026
Citi Discloses Over 300 New York Layoffs, Part of Ongoing Job CutsThe banking giant has been moving to eliminate 20,000 positions over two years.
May 20, 2026
Black Edward Jones Advisors Are Set Up to Fail, Class-Action Suit AllegesWhite financial advisors receive better asset transfers and compensation, according to a suit by six former advisors.
May 20, 2026
Bluespring Wealth Acquires $1.1B Synthesis Wealth PlanningInorganic growth, according to Pradeep Jayaraman, president of the financial services firm, works only when it's intentional.
May 19, 2026
How to Keep Client Couples' Simultaneous Retirements From Going WrongCouples who leave the workforce at the same time may be surprised when expectations don't meet reality.
May 19, 2026
Orion, Flourish Expand Integration for Held-Away Cash VisibilityThe move supports advisor-client conversations around cash-flow planning, distributions, excess cash management, Orion exec Trent Mumma says.