Financial crimes

Richard G. Cody, formerly of Boston Investment Partners, allowed his clients’ accounts to dwindle to almost nothing, according to the Justice Department.

The cases are among a series of such obstacles UBS has faced since the start of the financial crisis, including a $1.5 billion fine in 2012 for rigging the Libor benchmark.

The midterm elections virtually eliminate the chance that progress will be made on financial services legislation.

The focus since the 2016 election on easing rules, tax cuts and expanding access to credit is about to be turned on its head.

Douglas P. Simanski allegedly told clients he would invest their money in a “tax-free,” fixed-rate investment, a rental car company and a coal mining firm.

Ex-advisor Dawn Bennett, who allegedly dabbled in voodoo-type witchcraft, was found guilty by a federal jury of defrauding investors.

Edward Lee Moody used the stolen proceeds to buy a home and travel to Las Vegas among other destinations.

Darrell Smith stole $2.4 million from his clients to fund bio-energy companies.

Love or hate Bitcoin and other cryptocurrencies, Ric Edelman says advisors still must prepare to help clients invest in a "cashless future."

The scheme involved paying cash kickbacks to a former Barclays and Stifel advisor who worked on the wealth syndicate desk.