SEC

In a rare interview, Andrew Ceresney reveals the commission's beefed-up efforts, and what advisers should know.

Nicholas Mitsakos allegedly used the funds to pay his credit card bills and make payments on his Mercedes, authorities charge.

Former Philadelphia Eagles player Merrill Robertson Jr. funded "luxurious" lifestyle with life savings of football coaches, complaint says.

Assets under advisement were said to be $13 billion. The AUM was much less.

One of the alleged fraudsters used client funds to pay off gambling debts, according to authorities.

Luis Aguilar also weighs in on arbitration and SEC oversight of FINRA.

The bank misled mutual funds and other custody clients about how it priced their foreign currency trades, the SEC alleges.

In his underdog bid in North Carolina, Andy Millard says he's fighting big Wall Street money: "The financial consumer is not well represented in Congress."

Consultants are turning to technology as the SEC ramps up RIA exams.