SEC

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.

The RIA owner got insider tips from an attorney drunk on several glasses of wine, according to the 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.

The alleged wrongdoers transferred client money to their wives’ accounts, the commission says.

The company’s survival may depend on a continuing security awareness training program.

Two firms were fined over $100,000 for not disclosing nearly $5M in loans to clients.

The firm admitted to wrongdoing, saying the incomplete trading data was due to a computer coding error.

Several of Dawn Bennett's clients suffered major investment losses, "with two losing $1 million and $17.6 million," according to the SEC.

"His lies, piled on one after another, have led to today’s substantial and serious charges," U.S. Attorney Peter Neronha said.

Plus, why matching clients with brokers of their race, religion or ethnicity might not meet the legal threshold for affinity fraud.