SEC

A 20-year veteran advisor sold more than $7 million worth of investments pitched by an accused fraudster connected to his friend from Bible study, the regulator said.

The SEC's case against a barred former broker shows why regulators and the industry often struggle to catch repeat offenders before they harm investors again.

Part art, part science, Form ADV is the most important document an RIA will prepare — and one that will always require judgment calls.

Adam and Daniel Kaplan kept getting jobs at RIAs despite the disturbing allegations that led to their firings at other firms.

The chair warned that fund companies using predictive analytics need to ensure the technology places their clients' interests first.

The church agreed to pay $1 million, while its Ensign Peak Advisers paid $4 million, to settle the SEC complaint that they failed to file forms disclosing the church's equity investments.

A case involving Moors & Cabot's explanations about its conflicts of interest from cash sweeps signals how the regulator's actions are ramping up.

The fintech startup is mining SEC, FINRA and other data to make information on financial advisors easier for consumers to digest.

Even before the collapse of FTX, concerns about cryptocurrency and other risky investments were keeping regulators busy.

Lawyers see many reasons for concern when discussing the asset class with investors, but not enough to avoid talking about it and learning about it.

Bradley Goodbred allegedly defrauded a widow in her 90s through a real estate investment scheme, the latest example of a rising number of scams targeting seniors.

FINRA accused FSC, Royal Alliance, SagePoint and Woodbury of "negligently omitting material facts" about an alternative asset manager, FINRA said.

Goldman Sachs Group will pay $4 million to settle U.S. regulators' claims that its asset management unit didn't properly weigh environmental, social and governance factors in some of its investment products.

CapWealth Advisors founder Tim Pagliara said a federal jury sided with the firm because its clients had, in fact, paid lower overall fees on their mutual funds.

Consumer advocates cheered the outcome of the case and the regulator's enforcement push in recent years. Commonwealth's case is still pending.

An attorney for Keith Todd Ashley said he plans to appeal his fraud conviction and plead not guilty to capital homicide.

The firm's latest supervisory case involving its oversight of former brokers comes as regulators and client attorneys have more tools under the 2-year-old rule.

Securities America has paid more than $15 million in an SEC case and settlements with the fraud victims of Hector May and his daughter, Vania May Bell.

Grayscale Investments, the largest crypto asset manager, said the Securities and Exchange Commission acted arbitrarily earlier this year in rebuffing a bid to convert its $12 billion spot bitcoin trust into an exchange-traded fund.

A basic scam victimizing a client who has since been diagnosed with dementia evaded any red flags for eight years, according to the SEC.