SEC

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.

Mary Jo White also said that the commission lacks sufficient resources to provide oversight of investment advisers.

The SEC's allegations against David Paterson were tied to a proposal to build the largest movie studio in North America.

The regulator has filed a complaint against whistleblower Johnny Burris, who has filed multiple cases against one of its largest member firms, JPMorgan.

The Institute for the Fiduciary Standard says the SEC and CFP Board have failed to define true client-first service. It aims to fill that gap with a new list.

Regulators should step up their inspections of digital advisers as these tools surge in popularity, the firm said.

An ex-American Realty Capital executive allegedly overstated a key accounting metric by roughly $13 million, according to the SEC and federal prosecutors.

Risk aversion is what everyone thinks about first, and getting the lawyers involved is what everyone thinks about second.

These investment advisories paid the price for passing along performance data faked by a third-party manager.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

Edward Wedbush allegedly failed to supervise mandated regulatory filings.

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.