An emergency cease and desist order stopped the imposters in time.

DaRayl Davis used his clients' money to rent a fancy Hollywood mansion, purchase over $100,000 in airline tickets and pay off massive credit card bills.

While efforts to recover cash through litigation have repaid nearly 70% of valid claims, hundreds say they have been victimized a second time by that system.

The police, FBI, SEC and IRS, among other agencies, have been trying to track ex-advisor Chris Burns for months, to no avail.

Three recent criminal cases raise concerns that wealth managers and regulators aren’t detecting alleged fraud quickly enough or disclosing basic information about crimes and disciplinary problems.

Using a Paycheck Protection Program loan to fund businesses outside your day job may be costly for brokers.

Jacob Glick is accused of breach of fiduciary duty and misappropriating client funds, among other alleged misconduct.

James Booth’s seven-year fraud bilked investors out of nearly $5 million.

Credit Suisse has discovered fraud at its international wealth management business, two years after it was criticized by a regulator in a similar case that rattled the bank and raised questions about controls.

The COVID-19 pandemic has infected the service’s annual list of top tax scams.

After the client died at age 98, the advisor allegedly moved on to bilk another elderly investor, authorities say.

Firms founded by Jason Wenk allegedly failed to oversee a former advisor accused of investing clients in unregistered securities.

Production companies claim fraudsters bilked them out of $3.5 million under the bank's watch.

The hackers claim to be officers from the regulatory agency who have documents requiring immediate attention.

“Concerns over the program's ability to pay promised benefits have been around for a long while, but they're heightened,” an expert says.

The advisor had been previously arrested at the airport prior to boarding a flight.

Financial institutions need to alert customers about emails or websites that pretend to offer important COVID-19 information but instead could end up stealing their account numbers or logins.

A watchful planner might have saved a matriarch’s IRA from being allegedly pillaged by her son.

The client, Moises Cosio, is a filmmaker and the scion of a Mexican banking and real estate fortune.