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Merit Medical Systems Inc (MMSI) stock saw a modest uptick, ending the day at $102.9 which represents a slight increase of $0.83 or 0.81% from the prior close of $102.07. The stock opened at $102.01 ...

When the Federal Reserve started raising its benchmark rates in 2022, banks kept paying very little on sweep accounts. That ...

According to the regulator’s orders — between 2018 and 2024 for Wells Fargo, and between 2022 and 2024 for Merrill Lynch — ...

The case reflects the extent of industry efforts — and failures to enforce — guidelines such as customer identification ...

Scott J. Mason of Rubicon Wealth Management defrauded at least 13 advisory clients out of more than $20 million, spending it ...

Advisory clients’ uninvested dollars were automatically swept into bank accounts that paid paltry interest, but were ...

The SEC disclosed 7 actions against alleged misbehavior with only three days left for the Biden administration.

In the enforcement actions announced Friday, the regulator said the two firms agreed to settle the charges without admitting ...

Paul McLinko served as the bank’s executive audit director during its 2016 fake-accounts scandal. He called the penalty ...

Regulators took the wirehouses to task for not having policies directing advisors to consider clients' best interests.

The yield differential between the firms' bank deposit sweep programs and other alternatives was nearly 4% higher, according to SEC claims.