Elias Herbert Hafen, “every client’s worst nightmare,” could face years in jail. The wirehouse says it is repaying clients.

Planners' fears of violating privacy stops them from taking action. If implemented, a new model act might help.

A pastor was falsely arrested for check fraud because of errors made by Wells Fargo employees. Now, he may be forced to resolve legal claims against the bank in arbitration.

Prosecutors said Robert Shapiro used investor money for his $6.7 million home and $3.1 million for chartering planes and for personal travel.

There are red flags that may be pointing to elder fraud in a client account.

It was accused of pushing nearly 250,000 unaware customers into delinquency.

The decision comes a decade after the collapse of the infamous scheme.

Christopher Dougherty’s proferred investments allegedly included real estate properties and a 100-acre organic farm.

C. Allen Parker was interrupted more than a dozen times as he tried to deliver opening remarks at the bank's its annual meeting.

With the board still conducting a hiring search, the strategy for fixing past problems and returning to revenue growth remains in flux.

Frederick McDonald Jr. is accused of failing to disclose key risk factors regarding the complex world of the cannabis manufacturing industry.

Firms need to consider new "fraud mitigation strategies," according to a new study.

Under the firm's CEO, who is also its chief compliance officer, the alleged scheme continued undetected for seven years, the SEC says.

Chuck Person persuaded student-athletes to form illegal business relationships with at least one financial advisor.

The megabank was ordered to pay billions over a tax-evasion case.

All 83,000 CFPs certification information is now published via the same technology that underlies fast-proliferating cryptocurrencies.

The firm has jettisoned a longtime strategy of growing its own leaders.

A niece thought her aunt’s caretaker was stealing. How much can an advisor do?

The banker involved in a case going before the justices is accused of misrepresenting the financial condition of a client.

The payout, to 27,000 victims worldwide, is the third distribution from the $4 billion fund, according to the Justice Department.