SEC

With recent cases as teachable moments on what not to do, two of the top cops on the wealth management beat offer lessons to the industry.

Alternative investments such as leveraged or inverse ETFs, complex exchange-traded products and options remain areas of concern to the regulator.

Whether it's a watchdog or up-and-coming advisor, claims and counterclaims are plentiful across the industry.

Barred broker Dain F. Stokes faces a criminal rap after raising hundreds of thousands of dollars for the phony philanthropic project, investigators say.

Denise Badgerow won her long legal fight, while a Pennsylvania RIA and the Massachusetts securities regulator are currently weighing their options after decisions.

There are three basic steps that other financial firms have already adopted in larger numbers than wealth managers.

The regulator plans to focus on Reg BI, ESG criteria, private funds, cybersecurity and crypto assets in 2022, according to its closely watched report.

The firm that did business as Federal Employee Benefit Counselors allegedly made hundreds of fraudulent VA sales to federal employees.

The clearing brokerage and custodian to Naseem Salamah’s former RIA employer has provided restitution to the three “elderly” victims, records show.

A new potential fiduciary rule and a court decision involving independent contractors have the industry and consumer advocates watching carefully.