SEC

Payouts from advisory firms have reached nearly $80 million as the regulator targets excess fees.

The RIA rep fabricated account statements and used forged letterheads as part of the deception, investigators say.

Our exclusive interactive infographic reveals some interesting trends on the top 10 new firms and their locations.

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.

Risk alert: The agency expects advisors to follow these steps.

A recent OCIE report shows that advisors are missing the mark on protecting their businesses against cyber threats.

The department is asking the Office of Management and Budget to postpone the compliance date for 18 months for the best interest contract exemption and other aspects of the rule.

The company made reductions by as much as 20 basis points at the offerings, which total about $204 million in assets.

In addition to redesigning its business lines, the $48 billion firm is considering a robo, the president of its broker-dealer said.