The regulator plans to ramp up scrutiny of bad brokers and electronic communications, among other new measures.

The former broker, who pleaded guilty to securities fraud last month, allegedly promised clients returns of up to 15% and used proceeds for personal expenses.

Her proposal to expand a probe into possible sales abuses was met by resistance from an executive who didn’t want to alienate the bank.

Ex-RIA Richard G. Cody gave false reports to retirees for more than a decade, the SEC says. Many lost most of their life savings.

Friends and business associates lost $2 million in a Ponzi-like scheme.

A planner tells compliance expert Alan J. Foxman that he's concerned a court-appointed guardian is not acting in an aging client's best interests.

One of the sanctioned advisers has 26 disclosure events listed on his FINRA BrokerCheck record while remaining in good standing with Ameriprise.

The regulator proposes new rules to protect aging clients.

Robert Tricarico worked for five firms and had 16 FINRA disclosures over 20 years.

The former RIA and fund advisor was cited for multiple fiduciary violations in a day-trading scheme, pocketing profitable trades from a pooled account while burdening clients with the losses.

Pressure from lawmakers is intensifying on the bank. The SEC was also asked to investigate, and the SBA was asked for information about its own enforcement actions.

Carrie Tolstedt, formerly in charge of the community banking unit, and the wirehouse's board were named in the litigation.

The firm failed to detect one of its registered representatives converting $370,000 in client funds for the rep's own use, according to the regulator.

An ex-American Realty Capital executive allegedly overstated a key accounting metric by roughly $13 million, according to the SEC and federal prosecutors.

The RIA owner got insider tips from an attorney drunk on several glasses of wine, according to the SEC.

Nicholas Mitsakos allegedly used the funds to pay his credit card bills and make payments on his Mercedes, authorities charge.

One of the alleged fraudsters used client funds to pay off gambling debts, according to authorities.

Legislation passed by the House offers advisers protection against liability.