SEC

OCIE puts advisors on notice about widespread use of misleading claims and failures of disclosure.

SunTrust Investment Services collected more than $1.1 million in avoidable 12b-1 mutual fund fees from more than 4,500 accounts, the SEC charged.

When measured against a standard of care for best interest advice, digital wealth managers fall short, attorney Melanie Fein argues.

Public perception, the laboriousness of the rule-making process and other factors have acted as roadblocks to wholesale repealing the regulation.

Advocates call for the commission to address investor confusion.

The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.

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.

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.