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.

The firm that did business as Federal Employee Benefit Counselors allegedly made hundreds of fraudulent VA sales to federal employees.

The clearing brokerage and custodian to Naseem Salamah’s former RIA employer has provided restitution to the three “elderly” victims, records show.

The unregistered financial advisor’s crimes became only the latest example of how securities cases can spill over into substance abuse and violence.

A widow alleged that an imprisoned ex-financial advisor’s enterprise pursued “a malicious campaign” against her after she fell victim to his scheme.