SEC

Investigators say the onetime FiNet branch manager preyed on “particularly vulnerable” clients, including several with dementia.

The IBD network’s parent repurchased the majority of Dr. Phillip Frost’s shares just before the SEC filed proposed settlements of its pump-and-dump case.

Wall Street’s main regulator has made ADR sales a focus of its enforcement efforts.

The certification could stop being the gold standard and become the requirement, if only the regulatory path were clearer.

The regulator says it will keep an eye on issues like cybersecurity and cryptocurrencies.

Firms fined for misleading statements about products and performance — a possible sign that the commission is increasing its surveillance of digital investment platforms.

The SEC has cited concerns about manipulation as a top worry that must be addressed before it approves a bitcoin ETF.

The regulator laid out detailed guidelines for how planners should be communicating with clients electronically.

Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors

Robinhood Financial has rebranded its service, deleted tweets about its launch and scrubbed the page from its website.

The fintech's new products may violate several banking and securities regulations, industry officials say.

A uniform fiduciary standard is only way to ensure all advisors are putting their clients first, the Democratic senator says.

When faced with a regulatory challenge, advisors can’t be afraid to question authorities.

The product, which allows investors to purchase virtual currencies on their exchange, hits the market at a low point for bitcoin.

Macroeconomic trends and matters of convenience will move advisors, assets and markets next year in the ever-changing wealth management space.

The chairman looks to finalize Reg BI while issuing warnings for advisors on cybersecurity, Brexit and Libor transition.

The banker involved in a case going before the justices is accused of misrepresenting the financial condition of a client.

James Polese and another advisor used the funds to pay bills and cover kids’ college tuition, according to the Department of Justice.

Chairman Jay Clayton said he remains worried that cryptocurrency can be too easily stolen or manipulated on exchanges.

A bear market in marijuana isn’t the only challenge for new funds tracking the cannabis industry.