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.