Regulation

The planner is among the brightest minds in the financial planning profession, but his endorsement of the organization's certification standards is "decidedly enigmatic."

From the SEC to the Supreme Court, here's what could be playing out this year.

The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.

The SEC is running on a skeleton crew that effectively halts routine oversight.

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

The decision by Carson Group’s CEO came after a two-year examination of the business revealed some changes that needed to be made.

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.

The clients say their advisor improperly invested their funds in a Miami Beach nightclub that failed.

In this circus of an industry, what chance does an average investor have of finding somebody who will actually work on his or her behalf?

The regulator accuses her of misconduct; she says the agency is doing Morgan Stanley’s bidding.