State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Ex-Morgan Stanley Advisor Pleads Guilty to Money Laundering
By Jeff BermanThe ex-broker took more than $1.5 million from two close relatives who were clients, the prosecutor said.
June 05, 2023
12 States With the Best Economies: 2023WalletHub ranked the states on measures like employment, GDP growth and entrepreneurship.
June 05, 2023
Auto-IRA Bill Advances in Pennsylvania LegislatureAs drafted, the Keystone Saves program would utilize automatic enrollment, but participation would not be mandatory for employees.
June 02, 2023
Pretrial Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill ExecAnthony Duwayne Turner's next hearing is scheduled for July 10, the L.A. district attorney's office says.
June 02, 2023
Morgan Stanley Retaliated Against Whistleblower, Suit ClaimsThe employee asserts she was terminated after reporting colleagues using co-workers' passwords to make customer trades.
June 01, 2023
Friday Health Calls It QuitsThe news follows Georgia's announcement that it was putting its state's Friday Health plan into receivership.
June 01, 2023
California Doctor Questions Guardian's 'Total Disability' DefinitionThe doctor represents a class consisting of all Guardian disability insureds in California affected by a "no work" policy provision.
May 25, 2023
Ex-Edward Jones Rep Sentenced to 2 Years in Prison for Scamming ClientsThe former broker took nearly $800,000 from clients, prosecutors said.