State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Retired Teachers Win FINRA Fight With Schwab
By Melanie WaddellThirteen clients were awarded $3.8 million after claiming Schwab "concentrated their accounts in inappropriate holdings."
March 02, 2026
Firm Acquired by Mariner Alleges Fraud, Breach of ContractIn a lawsuit, James Hyre says Mariner broke promises of significant compensation and support after buying his Ohio firm.
February 27, 2026
12 Cities With the Highest Incomes Needed to Be Middle ClassThe local job market, housing market and infrastructure affect standards of living across the country, SmartAsset reports.
February 26, 2026
Regulators Want Indexed Annuity Sellers to Get RealSome show annual returns climbing over 10% for several years. A working group hates that.
February 26, 2026
Texas Says Vanguard Settles Collusion Suit for $29.5MThe lawsuit accused the asset manager of colluding to manipulate the energy market and reduce coal output.
February 25, 2026
How 7 States Are Reforming Property TaxesWhile the relief could be a boon to clients, these cuts put local budgets at risk, Pew finds.
February 24, 2026
12 States With the Highest Household Net WorthThe median net worth across the U.S. ranges from $62,500 to nearly $700,000, new data shows.
February 23, 2026
Massachusetts Advisor, Firm to Pay $150,000 in Annuity Switching CaseJeffrey Cutter and his firm failed to disclose significant upfront commissions and other conflicts of interest, a jury found.