SEC

Ex-RIA Richard G. Cody gave false reports to retirees for more than a decade, the SEC says. Many lost most of their life savings.

Advisers and experts offer insights about the changes and issues the industry will face next year.

Former Department of Labor officials allege systemic breakdown of whistleblower protection; two also handled Wells Fargo cases that went nowhere.

There's another approach to crafting a regulation that would benefit advisers and clients, RBC Wealth Management's former CEO says.

The Republican's hostility to all things Obama sets the stage for dramatic departures on financial regulation.

The firm also asked for the suits filed in federal court to be thrown out.

The regulator, in a proposed final judgement, wants the former planner held liable for $123,000 spent on golf outings, shopping and cruises.

After more than three-and-a-half years at the helm, Mary Jo White made incremental moves to expand advisor exams, but did not move on structural reform or implement a uniform fiduciary standard, as many advocates had hoped.

The legal heads of both firms challenge arguments made against the ability of robo advisers to serve their clients.

While it’s early in the process, a number of names are being floated as possible contenders.

The commission will examine how digital advice platforms uphold fiduciary responsibilities and safeguard client data.

A friendly memo to help top regulators in the next administration set priorities. One key point: planners and fee-compensated IRAs are the least of your worries.

Friends and business associates lost $2 million in a Ponzi-like scheme.

The bank ignored fees on structured notes, and clients may have been shortchanged, a consultant says.

Paul T. Lebel excessively traded shares that carried large front-end loads and "willfully disregarded the customers' interest," the agency said.

The request foreshadows how the senator will attempt to influence the next president's cabinet and other key nominations.

Dupree Financial Group was censured for shortfalls that firm's founder insists were not indicative of a lax compliance culture.

Employees inflated new client assets managed from the fourth quarter of 2011 to 2012 to meet sales targets, according to the regulator.

The first-ever case of its kind is putting other broker-dealers on notice about the regulator's enhanced abilities to identify patterns of abuse.

As rules pile up, industry leaders are looking for ways to help advisers navigate what they say has become a regulatory labyrinth.