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Securities America has paid more than $15 million in an SEC case and settlements with the fraud victims of Hector May and his daughter, Vania May Bell.
October 20 -
A basic scam victimizing a client who has since been diagnosed with dementia evaded any red flags for eight years, according to the SEC.
October 5 -
Young investors are increasingly turning to TikTokkers and YouTubers for stock tips, often with bad results. Here's how advisors can steer them away.
August 18 -
The company's CEO offered a rare perspective on what the industry can learn from it.
August 15 -
An ex-Woodbury Financial advisor faces 10 felony counts as the industry and regulators keep working on getting better at detecting and preventing scams.
August 10 -
The firms respectively settled the regulator’s allegations about suspicious activity reports and the duty of best execution — two major areas of emphasis.
May 23 -
With recent cases as teachable moments on what not to do, two of the top cops on the wealth management beat offer lessons to the industry.
May 17 -
In a panel held by NASAA, experts from giant wealth managers explained how reps and their teams often serve as the first line of defense.
May 4 -
Barred broker Dain F. Stokes faces a criminal rap after raising hundreds of thousands of dollars for the phony philanthropic project, investigators say.
April 20 -
A broker and a sales associate from his office face separate cases that have resulted in at least $1.18 million in payouts from their former firm.
December 15