State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Texas to Vote on Wealth Tax Ban in November
By Melanie WaddellVoters will decide on a constitional amendment banning wealth taxation at the state level.
October 17, 2023
Clients Sue Chase Over $1M in Missing CD FundsA mother and son contend they never received mailed checks from Chase totaling nearly $1.2 million.
October 17, 2023
Stifel Named in Civil Case Against Advisor Charged With Strangling GirlfriendThe firm neglected its duty of care to the girlfriend, who was a client, according to the lawsuit.
October 12, 2023
Allianz Life Faces Annuity Owner SuitThe plaintiff says the insurer should have explained why it cut off ties to her advisor.
October 03, 2023
FINRA Fines Former LPL Rep for Faking 30 Clients' SignaturesThe regulator also suspended the former broker for four months.
October 02, 2023
Colorado Puts Annuity Data Regulation in PlayThe state's requirements could have a big effect on how all financial services regulators approach AI and machine learning.
October 02, 2023
Chase Bank Customers Report Account Glitches, AgainChase customers reported account issues, including trouble with debit card transactions.
October 02, 2023
Fidelity Fined $1.7M for Lax Approval of Options TradersFINRA and the Massachusetts Securities Division fined Fidelity for "rubber-stamping" options trading applications.