Fraud prevention

Douglas Hawkins sold more than $2 million in risky alternative investments without even providing his clients a prospectus, investigators said.

The case offered the latest example of a serious prison term for financial exploitation of older adults — a problem experts say is even bigger than the sobering statistics.

The SEC's case against a barred former broker shows why regulators and the industry often struggle to catch repeat offenders before they harm investors again.

A 22-year veteran broker is headed to prison for "intentionally preying" on seniors and families of children with special needs, the district attorney says.

Adam and Daniel Kaplan kept getting jobs at RIAs despite the disturbing allegations that led to their firings at other firms.

Bradley Goodbred allegedly defrauded a widow in her 90s through a real estate investment scheme, the latest example of a rising number of scams targeting seniors.

The firm's latest supervisory case involving its oversight of former brokers comes as regulators and client attorneys have more tools under the 2-year-old rule.

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.

A basic scam victimizing a client who has since been diagnosed with dementia evaded any red flags for eight years, according to the SEC.

Young investors are increasingly turning to TikTokkers and YouTubers for stock tips, often with bad results. Here's how advisors can steer them away.