Regulation

Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.

The independent broker-dealer’s executive team hopes the SEC works with the DoL to develop an industry standard.

State administrators find reason for scrutiny in advisors’ increasing use of flat fees.

IHT Wealth Management now has $2.4 billion in client assets.

Advisors should address client issues in-house, which sometimes means taking a hard look at supervisory controls, regulators say.

Clients are looking to be reassured about the security of their data.

Bernard Parker spent his client's money on his home, car and father-in-law’s bills, according to federal prosecutors.

The board metes out punishment against planners Jeffrey and Kimberly Camarda after they unsuccessfully sued the board.

Reps recommended complex investments without restrictions, the regulator said.

Oct. 16: Analysts say new products filling the void may reverse the trend.