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.

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.

Barred ex-broker Louis Cook allegedly targeted older adults whose assets he promised to protect for long-term care.

David W. Schamens defrauded clients for $6.8 million in a Ponzi scheme despite being banned by the SEC decades earlier, according to investigators.

OU’s law school enlisted a former player from one of its fiercest rival schools to help students understand how to avoid the pitfalls of misconduct.

German Nino concealed fraud losses totaling $5.8 million through fake account statements and other doctored documents, investigators say.

The combination of technology and rising client interest in digital assets are ratcheting up the risks to investors, according to NASAA.

The wirehouse reached an agreement with an SEC-appointed receiver and a state regulator in connection with a massive EB-5 investment scheme.

Advocacy clinics at law schools can help protect vulnerable clients, but only if they're well-funded and widely distributed.

A broker and a sales associate from his office face separate cases that have resulted in at least $1.18 million in payouts from their former firm.

In those early moments, with so much in doubt, my colleague made the call that mattered most: to put his client’s needs ahead of everything else.