SEC

The unregistered financial advisor’s crimes became only the latest example of how securities cases can spill over into substance abuse and violence.

A widow alleged that an imprisoned ex-financial advisor’s enterprise pursued “a malicious campaign” against her after she fell victim to his scheme.

The commission issued a 500-plus-page proposed rule Monday that would mandate corporate disclosure of greenhouse gas emissions.

David W. Schamens defrauded clients for $6.8 million in a Ponzi scheme despite being banned by the SEC decades earlier, according to investigators.

Fusion Analytics Securities sold $1.8 million in bonds and collected 8% commissions while making material misrepresentations, the regulator says.

SEC, FINRA and legislators are set to plant significant flags on the quickly evolving asset class’ landscape.

The regulator didn’t provide any explanation for the much larger payout, but it did release another similar settlement the following day.

A law firm’s analysis of what the self regulator is doing to rein in bad brokerages and advisors marshalls data not easily found.

Akshay Singh’s Indyfin seeks to give more independent practices access to client leads and the potential opportunity of online reviews.

Despite industry criticism, the regulator’s ongoing wave of cases has expanded into allegations that wealth managers breached their duty of best execution.

The advisor failed to disclose the low-interest loans he received from a fraudulent crypto securities issuer in exchange for selling the products, investigators say.

It's the latest salvo against funds that don't live up to their green do-good claims.

The settlements pose an impact to the firms accused of neglecting their Form CRS, but not to giant wealth managers bracing for stronger enforcement.

The Synergy RIA Compliance Solutions founder shares how advisory practices can handle the most important regulatory tasks when going independent.

Securities and Exchange Commission Chair Gary Gensler doubled down on his calls for more oversight of cryptocurrency trading platforms on Wednesday, offering new insight into his priorities as he seeks to crack down on the digital coin industry. 

The XY Planning Network of fee-only advisors and investment advisor Michael Kitces say consumers are being deceived when brokers use labels like “wealth manager” and “financial advisor.”

Some funds touting their environmental and socially responsible investments may be exaggerating.

Carrie Tolstedt invoked her right to remain silent about allegations she misled bank customers.

Wall Street’s self-regulator says recent data show that only mid-sized and smaller firms would have fit its new “red flag” criteria.

The exchange will direct its listed companies to pursue board diversity, including at least one member who is female and at least one who is an underrepresented minority or LGBTQ.