SEC

The commission's new risk alert focuses on fees and expenses and amplifies its focus on disclosures and compensation structures.

Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.

One couple in their eighties invested more than $700,000 with the alleged schemers, representing almost the entirety of their cashed-out pension, regulators say.

The misconduct is so pervasive that the regulator is temporarily allowing violators to come forward.

Instead of thinking about fiduciary purely as an obligation or regulation, advisors should envision it as something much bigger: a way of life.

Merrill Robertson Jr. had previously been sentenced to 40 years in prison in a separate criminal case.

Clients were allegedly steered into investments maximizing revenue for the bank and employees.

Investors brought a class-action suit against brokerage alleging a "scheme to churn revenue from essentially dead assets."

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

A former spiritual advisor to presidents George W. Bush and Barack Obama plans to turn himself in as his attorney vows innocence.