Financial crimes

The church agreed to pay $1 million, while its Ensign Peak Advisers paid $4 million, to settle the SEC complaint that they failed to file forms disclosing the church's equity investments.

The Wisconsin wealth manager persuaded more than a dozen clients to put roughly $1.9 million into 'unrated, illiquid, high risk, and potentially speculative' investments. But he never made the investments.

Even if advisors get a disclosure removed from their records, the damage done online can be difficult to manage.

Investment scams are as old as investments themselves, and it doesn't get any easier to avoid falling prey to them. But advisors can help.

FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.

Christopher Parris also pleaded guilty to fraudulently trying to sell COVID masks to the U.S. government and private businesses.

Comments on FINRA proposal question of difficulty of getting meritless customer complaints erased.

A lack of adequate safeguards has made it too easy for criminals to prey on elderly Americans.

The head of the Commodities Futures Trading Commission disputes the idea that his agency would have a "light touch" with digital assets or encroach on the SEC.

Regulators' amendment would prevent dealers who have been found liable from even trying to get records erased.