SEC

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.

The RIA owner got insider tips from an attorney drunk on several glasses of wine, according to the SEC.

In a rare interview, Andrew Ceresney reveals the commission's beefed-up efforts, and what advisers should know.

Nicholas Mitsakos allegedly used the funds to pay his credit card bills and make payments on his Mercedes, authorities charge.

Former Philadelphia Eagles player Merrill Robertson Jr. funded "luxurious" lifestyle with life savings of football coaches, complaint says.

Assets under advisement were said to be $13 billion. The AUM was much less.

One of the alleged fraudsters used client funds to pay off gambling debts, according to authorities.

Luis Aguilar also weighs in on arbitration and SEC oversight of FINRA.

The bank misled mutual funds and other custody clients about how it priced their foreign currency trades, the SEC alleges.

In his underdog bid in North Carolina, Andy Millard says he's fighting big Wall Street money: "The financial consumer is not well represented in Congress."

Consultants are turning to technology as the SEC ramps up RIA exams.

The alleged wrongdoers transferred client money to their wives’ accounts, the commission says.