SEC

The SEC's case against a barred former broker shows why regulators and the industry often struggle to catch repeat offenders before they harm investors again.

Part art, part science, Form ADV is the most important document an RIA will prepare — and one that will always require judgment calls.

Adam and Daniel Kaplan kept getting jobs at RIAs despite the disturbing allegations that led to their firings at other firms.

The chair warned that fund companies using predictive analytics need to ensure the technology places their clients' interests first.

The church agreed to pay $1 million, while its Ensign Peak Advisers paid $4 million, to settle the SEC complaint that they failed to file forms disclosing the church's equity investments.

A case involving Moors & Cabot's explanations about its conflicts of interest from cash sweeps signals how the regulator's actions are ramping up.

The fintech startup is mining SEC, FINRA and other data to make information on financial advisors easier for consumers to digest.

Even before the collapse of FTX, concerns about cryptocurrency and other risky investments were keeping regulators busy.

Lawyers see many reasons for concern when discussing the asset class with investors, but not enough to avoid talking about it and learning about it.

Bradley Goodbred allegedly defrauded a widow in her 90s through a real estate investment scheme, the latest example of a rising number of scams targeting seniors.