J.P. Morgan Chase has agreed to pay $307 million in fines to settle charges the bank’s investment advisors pushed J.P. Morgan products on their clients without disclosing the conflicts of interest.
Third Avenue Management LLC has reached an agreement with the Securities and Exchange Commission to provide investors with updated values on its Third Avenue Focused Credit Fund, as the firm unwinds the troubled fund over the next year or so.
In a New York Times OpEd piece, Hillary Clinton says laws and regulations approved in the wake of the 2008 financial crisis don’t go far enough toward preventing another meltdown. But skeptics question her commitment to cracking down on the big banks.
The Securities & Exchange Commission’s probe into a major insider trading case connected to the House Ways & Means Committee is being stymied by the committee’s attorneys.
The Securities and Exchange Commission on Tuesday charged two Connecticut-based Bitcoin mining companies and their founder with running a Ponzi scheme that defrauds investors.
The Securities and Exchange Commission has seen a drastic increase in the number of tips that the government agency received in 2015.
Described by supporters as an effort to 'democratize' the investment landscape by allowing ‘mom and pop’ investors far greater access to the next potential Google.
Today’s money market funds are returning a staggeringly low 0.01% annually. Learn why people are still investing in them.
The regulatory agency filed 807 actions 'covering a wide range of misconduct' and collected about $4.2 billion in fines.
Credit Suisse Group AG, one of the biggest operators of a "dark pool," reached a tentative agreement to pay around $85 million to New York and federal authorities to resolve allegations of wrongdoing in its private trading venue, according to a person familiar with the matter.
A Ukrainian trading firm has agreed to pay $30 million to settle charges it reaped illegal profits by using hacked information stolen from newswires to trade ahead of corporate moves.
Justice Dept. policies are expected to be announced on Thursday intended to increase the number of white-collar cases brought against corporate executives. The new guidelines are intended to focus on individual executives from the start.
The wild market swoons that rattled Wall Street last month may create a new wave of controversy for the New York Stock Exchange.
The Securities and Exchange Commission said Tuesday that three former Bankrate executives were charged in the case that “involves fraudulent manipulation of the company’s financial results to meet analyst expectations.”
The DOJ and SEC filed charges against a total of 32 people who allegedly took part in a scheme to hack newswire services and trade on nonpublic information.
The Securities and Exchange Commission on Wednesday approved new rules that require publicly traded companies to reveal the gap between what their CEO makes and what rank and file employees take home.
FNC senior judicial analyst Judge Andrew Napolitano on the potential new SEC rule that would allow shareholders to view the pay gap between a company's employees and CEO.
Regulators are set to approve a contentious new rule requiring companies to disclose the pay gap between rank-and-file employees and the chief executive, marking the culmination of years of debate and pressure on the Securities and Exchange Commission over a mandate from the 2010 Dodd-Frank law.
Bond giant Pacific Investment Management Co. disclosed that it received a Wells Notice from the staff of the U.S. Securities and Exchange Commission concerning a popular exchange-traded fund, the Pimco Total Return ETF.
FBN's Charlie Gasparino reports that Guggenheim Partners is working on a civil settlement with the Securities and Exchange Commission.