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

With the broker behind bars since last year, the firm has paid nearly $2 million in client restitution and a regulatory fine over its mishandling of the account.

ERC "mills" have come out of the woodwork to lure small business owners into taking a lucrative tax credit they don't qualify for. Here's what advisors need to know.

The court papers are the latest to shed light on the underbelly of some digital currency platforms.

The Milwaukee-based broker charged over 4,600 clients a minimum $100 fee, plus a handling fee, on small transactions; "not fair and reasonable," FINRA said.

Though fewer people are writing checks, banks of all sizes are seeing a massive increase in check fraud since 2020. Recouping losses from bad checks is pitting banks against each other, and regulators may have to weigh in.

Tax cheats have found a way to sidestep a 12-year-old U.S. law designed to crack down on offshore tax evasion.

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

Reports of Russia's malicious cyber activity can spur investors to greater vigilance, but if the worst happens, quick action is crucial.

The company's CEO offered a rare perspective on what the industry can learn from it.

An ex-Woodbury Financial advisor faces 10 felony counts as the industry and regulators keep working on getting better at detecting and preventing scams.

Scam artists are increasingly targeting elderly Americans for their retirement savings. But the warning signs can be obvious, if investors — or their advisors — know what to look for.

As online dating grew during the pandemic, Americans lost over $2.3 billion to romance scams over the past five years.

Commissioner Hester Peirce said an enforcement matter relating to a million-dollar fraud case fits a “sound” framework for charging compliance officers.

The firms respectively settled the regulator’s allegations about suspicious activity reports and the duty of best execution — two major areas of emphasis.

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.

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.

Seniors lose more than $3 billion each year in financial scams. A panel looked at how they can protect themselves, and how trustworthy advisors can help.

Whether it's a watchdog or up-and-coming advisor, claims and counterclaims are plentiful across the industry.

Barred broker Dain F. Stokes faces a criminal rap after raising hundreds of thousands of dollars for the phony philanthropic project, investigators say.