SEC

Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.

The scheme ensnared about 8,400 investors, the regulator says.

More than 15 similar products have been proposed since 2013. Some applications were withdrawn. Others are in purgatory.

To get in on hot IPOs, a client delivered cash payments to the broker at bars and restaurants, the regulator alleges.

Authorities say the now barred broker concealed his fraud through a variety of methods, including by creating falsified tax forms and lying to accountants.

Regulatory decisions, whistle-blower cases and acquisitions will define wealth management in 2018, and the people here will be the decision-makers who remake the industry.

Digital advice is vulnerable to bait-and-switch and choice manipulation schemes.

The industry has resisted the SEC’s Consolidated Audit Trail surveillance system ― dubbed CAT ― in its current form based on cybersecurity concerns.

The regulator charged the firm and its owner with fraud in a case centered on commissions and 12b-1 fees.

Industry experts offer their forecasts for leading trends in the coming year.