State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Barred Advisor Charged With $3.3M Fraud Against LPL, Fidelity and TD Ameritrade
By Dinah Wisenberg BrinA federal grand jury returned an 11-count indictment against Andrew Komarow.
March 04, 2026
Ex-Morgan Stanley Advisor Convicted of Defrauding 3 NBA PlayersDarryl Cohen cheated the pro athletes out of more than $5 million, according to prosecutors.
March 03, 2026
Warren Presses SEC on 2025 Enforcement NumbersOfficial data has been "unreasonably delayed" as third-party analyses show a decline in activity, the senator says.
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.