Financial crimes

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.

IRS investigators say the frauds including money laundering, market manipulation and tax evasion — and even celebrities could get caught up in the agency’s probes.

A self-reporting program on 529 plan share classes yielded five more settlements, and wealth managers agreed to pay a combined $15 million.

The wirehouse and its independent arm failed to store millions of documents in the right format over a 17-year span, the regulator says.

A former Wells Fargo investment advisor stole nearly $3 million from clients, using the money for personal expenses and to buy gold coins, federal prosecutors said.

The grand jury indictment and a new filing by the SEC offer additional details on the case.

In a compliance case, the SEC accused LPL of failing to verify conflicting information when it opened a customer account and processed wire transfers.

Here's what you missed this week in wealth management.