SEC

Aaron Parthemer misrepresented investments to his pro athlete clients, the regulator claims.

USAA Capital held over $513 million in market value of the Wall Street giant’s large-cap, emerging market and international ActiveBeta funds.

Ellevest's newest round of funding defies industry expectations about digital advice's viability.

The one-time radio host allegedly spent client funds on a $1.45 million on a luxury suite at AT&T stadium, where the Dallas Cowboys play.

The case marks the firm’s second in a month, but its special investigations unit helped crack it.

Payouts from advisory firms have reached nearly $80 million as the regulator targets excess fees.

The RIA rep fabricated account statements and used forged letterheads as part of the deception, investigators say.

Our exclusive interactive infographic reveals some interesting trends on the top 10 new firms and their locations.

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.