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.