SEC

The former advisor faces as many as 10 years in prison for stealing roughly $1.7 million from relatives' brokerage accounts to pay for trips, cruises and other personal expenses.

Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.

Venture capital-backed Purpose Rounds helped ethical leather goods firm Parker Clay raise money outside the traditional routes as the pilot firm on the platform.

Industry groups question the wisdom of regulators seeking to have one rule on data breaches for broker-dealers and another one for advisors.

The SEC case is the latest to highlight the risks investors run when they get involved with "blank check" companies.

Proponents of the House of Representatives legislation argue that new regulations often fall disproportionately on financial planners that don't have formal compliance and legal departments.

The key is finding a way to handle increasingly complex compliance while continuing to serve clients effectively.

Cash sweeps are lucrative to brokerages and custodians, but not to clients. Here's what financial advisors should know about how they can get greater yield for clients' liquid assets.

A securities expert says the Ponzi-like plot allegedly carried out by a former Deutsche Bank investment banker is a sign that regulators need to provide crypto clarity.

A 20-year veteran advisor sold more than $7 million worth of investments pitched by an accused fraudster connected to his friend from Bible study, the regulator said.

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.