SEC

Ex-advisor Dawn Bennett, who allegedly dabbled in voodoo-type witchcraft, was found guilty by a federal jury of defrauding investors.

Edward Lee Moody used the stolen proceeds to buy a home and travel to Las Vegas among other destinations.

Enforcement actions against IAs and reps at the state level soar in 2017, according to NASAA report.

It’s the latest sign the SEC is taking seriously complaints that fees for market data are too high.

Critics say quarterly reporting prompts companies to hold back on hiring and spend capital on share buybacks to meet short-term forecasts.

Love or hate Bitcoin and other cryptocurrencies, Ric Edelman says advisors still must prepare to help clients invest in a "cashless future."

Melvin Leonard Wimmer Jr. is said to have bilked clients out of their retirement savings.

Large teams formerly at wirehouses now account for 30% of new RIAs, according to new research by Schwab Advisor Services.

Companies that haven’t released financial reports for extended periods of time are expected to be put under the microscope.

It’s another example of how impactful an update to broker standards of conduct could be.

A new fund awaiting SEC approval seeks “to address the concerns of vegans, animal lovers and environmentalists.”

Dick Lampen says the SEC charges against Dr. Phillip Frost, the firm’s primary shareholder, won’t affect its “significant” other resources.

The scheme involved paying cash kickbacks to a former Barclays and Stifel advisor who worked on the wealth syndicate desk.

While the IBD advocacy organization supports the proposal’s approach, key questions loom over the timeline and makeup of the potential regulation.

The firm is the first to be censured for violating the Identify Theft Red Flags rule.

John Gregory Schmidt allegedly devised a 14-year scheme that straddled his time with Stifel and Wells Fargo.

NAPFA’s chairman sees an “untapped market” opening up.

Under SEC rules, an advisor was statutorily disqualified after driving under the influence. Can he ever register with a brokerage again?

Observers expect only modest changes from comment letters, and look ahead to a vote to enact new advisor and broker regulations.

Dr. Phillip Frost, the principal shareholder of the IBD network’s parent firm, has stepped down, giving way to CEO Richard Lampen.