Financial crimes

The convicted fraudster allegedly stole more than $270,000 from his victims, including his mother and ex-girlfriend.

Wells may have settled with former employee Claudia Ponce de Leon because it wanted to avoid the "massive exposure" of a jury trial, an expert says. It is unclear how the agreement will affect Wells’ other cases.

Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.

Caleb Fackrell repeatedly called his behavior “insane” in his testimony, according to transcripts obtained by Financial Planning.

The scheme ensnared about 8,400 investors, the regulator says.

To get in on hot IPOs, a client delivered cash payments to the broker at bars and restaurants, the regulator alleges.

The alleged failures stretched over a two year period, according to the regulator.

Brash and bumbling? Or genuinely caring? Truth and fiction are blurred in depictions of planners in movies and TV shows.

“Ozark,” “Ballers,” “The Wolf of Wall Street” and “Trading Places” are fun to watch, but they bear nearly no resemblance to the day-to-day work of financial advisors.

The regulator charged the firm and its owner with fraud in a case centered on commissions and 12b-1 fees.