Securities and Exchange Commission examiners are finding that broker-dealers and registered investment advisor firms are leaving their disciplinary histories off the agency's new customer relationship ...

Beatles legend John Lennon was a class clown who got in trouble for fighting, silliness and chewing gum, his discipline records reveal. Documents going under the hammer this month detail why the then ...

It was paperwork that launched a firestorm of debate among Florida parents. Politicians and even a few Florida doctors were accused of using school mask exemption forms to profit or push a personal ...

The Securities and Exchange Commission warned financial firms not to omit the disciplinary history of the firm or its personnel from a new disclosure document. Top agency officials said SEC staff ...

Fewer kids are spanked today than in 1975, but nearly 80 percent of preschoolers are still spanked in the United States. And corporal punishment remains common around the world even though two dozen ...