Financial crimes

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.

Although planners may not have fiduciary duty to protect older clients, many see it as an ethical obligation.

Sheldon Whitehouse, D-Rhode Island, and Roger Wicker, R-Mississippi, introduced bipartisan legislation to put more responsibility on accountants and other financial professionals to safeguard against money laundering and other crimes.

The changes reflect an effort to give penalties more teeth, similar to what the regulator did last year with Robinhood's $70 million fine.

State regulators' enforcement actions for 2021 reveal which scams pose the greatest risks to investors.

After the Office of the Comptroller of the Currency cracked down on a $2.8 billion-asset bank, industry observers expect more scrutiny of the ties between banks and financial technology startups.

When an elderly person is scammed, a new study shows, many Americans blame the victim. Advisors can help break that habit.

Scam artists are increasingly targeting elderly Americans for their retirement savings. But the warning signs can be obvious, if investors — or their advisors — know what to look for.

Twenty months after a strange attempted theft outside of a New Jersey home, authorities arrested the 28-year-old employee of a Red Bank-based firm.

Catch up on the bits of wealth management news you might have missed over the last week.

These are the bits of news you might have otherwise missed this week in wealth management.

Here's what happened over the last week in wealth management.

The attacks are expected to mirror geopolitical tensions.

A law firm’s analysis of what the self regulator is doing to rein in bad brokerages and advisors marshalls data not easily found.