SEC

Authorities say the now barred broker concealed his fraud through a variety of methods, including by creating falsified tax forms and lying to accountants.

Regulatory decisions, whistle-blower cases and acquisitions will define wealth management in 2018, and the people here will be the decision-makers who remake the industry.

Digital advice is vulnerable to bait-and-switch and choice manipulation schemes.

The industry has resisted the SEC’s Consolidated Audit Trail surveillance system ― dubbed CAT ― in its current form based on cybersecurity concerns.

The regulator charged the firm and its owner with fraud in a case centered on commissions and 12b-1 fees.

Industry experts offer their forecasts for leading trends in the coming year.

The former broker met some of his roughly 60 victims through his associations with the NFL and the University of Virginia, where he also played football, federal prosecutors said.

One expert suggests the SEC could develop a new system to evaluate firms' conflicts, assigning scores similar to those from Consumer Reports.

Advisors should expect more regulatory requirements, enforcement actions and uncertainty in 2018, experts say.

Medium-sized RIAs have few options, but the SEC’s examination priority list makes this a hot topic.

Technology costs money and takes time, but the benefits are well worth it, Nina O’Neal writes.

Bradley Mascho helped Bennett defraud at least 46 investors, including many seniors, the regulator charges.

He intercepted checks from her home when she wasn’t there and forged her signature to steal her money, investigators say.

The regulation's enforcement provisions will not take effect until July 1, 2019, the Labor Department said.

After building an empire on passive funds, the world’s largest asset manager is readying a suite of actively managed funds.

Some fund managers specializing in distressed debt smell an opportunity.

The wire fraud charge came nearly four years after the CFP Board revoked his certification.

Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.

A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.

Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.