SEC

The advisor was accused of stealing more than $1 million from his clients to pay for golf course fees, tanning salons and other personal expenses.

Chairman Jay Clayton and OCIE's director provided advisors with hints on the regulator’s methods.

The SEC's June 2016 settlement with Merrill Lynch was one of its biggest cases of the year by dollar amount.

The broker persuaded clients to write checks payable to him, the regulator claims.

The firm allegedly profited $14 million by fabricating performance records.

Aaron Parthemer misrepresented investments to his pro athlete clients, the regulator claims.

USAA Capital held over $513 million in market value of the Wall Street giant’s large-cap, emerging market and international ActiveBeta funds.

Ellevest's newest round of funding defies industry expectations about digital advice's viability.

The one-time radio host allegedly spent client funds on a $1.45 million on a luxury suite at AT&T stadium, where the Dallas Cowboys play.

The case marks the firm’s second in a month, but its special investigations unit helped crack it.