Financial crimes

While the pandemic slowed down investigations and court cases, state regulators continued to chase financial scamsters, data shows.

A new report from PIABA says independent advisors are as bad as brokers when it comes to cheating investors and paying awards.

Doug Elstun catered to NBA and NFL sports stars, many of whom may not have known about his confidential client settlements outside of FINRA.

The securities lawyer and former NASD regional attorney explains why cases can be so hard to detect and what the industry can do to help.

Brokerages that want to hire someone with a checkered past have to undergo a “consultation” with the watchdog and may have to try to renew their memberships.

‘Millions unaccounted for’ in an alleged 10-year fraud as court freezes assets of dually registered planner and his fund.

Defense cites a heart condition caused by a Brazilian parasite as a reason for lesser time.

A longtime Merrill Lynch veteran, Michelle Avan advocated for Black women and other under-represented talent.

Nearly 100 clients Mata allegedly defrauded for $14.5 million have received paltry restitution after exhausting every possible method.

The managing director was arrested for two domestic violence incidents over a three-week period.