Regulation

The duo recommended an investment strategy that was overly concentrated in four speculative equity securities to more than 50 customers, FINRA alleged.

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.

"Sunlight is the best disinfectant," investor advocate says of regulator's move to keep disciplinary problems in public view.

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

It’s a common practice but a dangerous one.

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.