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SEC sued over broker-dealer texting fines data

A lawsuit against the SEC asks how the agency calculated billions of dollars in fines against broker-dealers for off-channel communications.

SEC bars former advisor, crypto trader - InvestmentNews

Repeat flubs at Stifel over complex products: Finra

Essential Edge Commences Next Stage of Strategic Growth Plan by Naming New Board of Advisors

Reg BI enforcement poised to take next step

Essential Edge Officially Joins Orion Compliance Consultant Marketplace to Leverage Top-Ranked Technology

/PRNewswire/ -- Essential Edge Compliance Outsourcing Services, LLC ("Essential Edge"), a regulatory and compliance supervision consultancy, announced today it...

FINRA Fines Canadian Firm For Reg BI Violations

Haywood Securities USA didn't do due diligence for about 134 recommendations of private placements totaling nearly $11 million, according to FINRA

Battle Between FINRA and Foe Could Be 'Headshot' For Regulator

Alpine Securities filed suit against FINRA, arguing it is unconstitutional, and some securities attorneys worry about consequences if the firm is successful.

SEC fines JPMorgan $4 million for deleting electronic communications

The SEC imposed a $4 million fine on JPMorgan Securities for improperly deleting millions of emails and other electronic communications.

Essential Edge Enhances Its Leadership in Financial Services Compliance Consulting with Hire of Robert Franklin

/PRNewswire/ -- Essential Edge Compliance Outsourcing Services, LLC ("Essential Edge"), a regulatory and compliance supervision consultancy for financial...