SEC

Why new rules won’t necessarily prevent bad behavior.

Like everything else on Wall Street, this dispute is about the bottom line.

The regulator's investor advisory committee approved a set of recommendations for commission to clarify "best interest" advice for advisors and brokers.

Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.

Douglas P. Simanski allegedly told clients he would invest their money in a “tax-free,” fixed-rate investment, a rental car company and a coal mining firm.

Actions against advisors and fund companies accounted for nearly a quarter of all standalone cases, even while budget constraints and legal setbacks hobble enforcement efforts.

The regulator proposed a "clear and concise" summary for clients considering the products, but the impact appears limited.

While it may be unnerving, a notice of an examination doesn’t necessarily mean defeat.

Ex-advisor Dawn Bennett, who allegedly dabbled in voodoo-type witchcraft, was found guilty by a federal jury of defrauding investors.

Edward Lee Moody used the stolen proceeds to buy a home and travel to Las Vegas among other destinations.