State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Carson Group Says Ex-CMO Altered Evidence in Lawsuit
By Dinah Wisenberg BrinA lawyer for the former executive, Mary Kate Gulick, disputed the accusations.
July 18, 2025
What If Life Insurance Applicants Know They Have Harmful Genes?The ALS Association wants to block life insurers from rejecting applicants based on screening test results.
July 17, 2025
Ameriprise Affiliate Defamed Departing Advisor in Mass Email, Lawsuit SaysThe email left Armando Merino's clients "concerned" and "horrified," he alleges.
July 09, 2025
Ex-Merrill Advisor Accused of Stealing Nearly $2.6M From Retired Miami DolphinIsaiah T. Williams Jr. was arrested and released on a $1 million bond.
July 02, 2025
Widow Sues Fidelity Over Husband's Account in Beneficiary Designation CaseLeslie McCarthy contends that her late husband planned to share the account with her.
June 27, 2025
Trial Underway for Ex-Banker Charged With Murdering BofA ExecAnthony Duwayne Turner is fighting charges that he killed Michelle Avan, his former girlfriend.
June 09, 2025
LPL, Edward Jones Among 5 Firms Ordered to Pay $29M Over Excessive CommissionsThe firms charged nearly $19 million in unreasonably high commissions over five years, state regulators say.
June 04, 2025
Kellyanne Conway Talks Trump Tariffs"I don’t know why anybody’s surprised that he went ahead with tariffs," the former Trump advisor said Wednesday.