SEC

The firm allegedly profited $14 million by fabricating performance records.

Aaron Parthemer misrepresented investments to his pro athlete clients, the regulator claims.

USAA Capital held over $513 million in market value of the Wall Street giant’s large-cap, emerging market and international ActiveBeta funds.

Ellevest's newest round of funding defies industry expectations about digital advice's viability.

The one-time radio host allegedly spent client funds on a $1.45 million on a luxury suite at AT&T stadium, where the Dallas Cowboys play.

The case marks the firm’s second in a month, but its special investigations unit helped crack it.

Payouts from advisory firms have reached nearly $80 million as the regulator targets excess fees.

The RIA rep fabricated account statements and used forged letterheads as part of the deception, investigators say.

Our exclusive interactive infographic reveals some interesting trends on the top 10 new firms and their locations.

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.

Risk alert: The agency expects advisors to follow these steps.

A recent OCIE report shows that advisors are missing the mark on protecting their businesses against cyber threats.

The department is asking the Office of Management and Budget to postpone the compliance date for 18 months for the best interest contract exemption and other aspects of the rule.

The company made reductions by as much as 20 basis points at the offerings, which total about $204 million in assets.

In addition to redesigning its business lines, the $48 billion firm is considering a robo, the president of its broker-dealer said.

Expected new chief for financial products is fueling speculation for more innovative funds.

The advisors collected $1.7 million by fraudulently pushing variable annuities, investigators say.

A new industry snapshot highlights record firm count and AUM, while continuing steep client growth fueled in considerable part by the rise of robos.

The Labor Department is receiving a deluge of feedback from advisers and investors on whether to revise its controversial regulation.