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.

Securities and Exchange Commission Chair Gary Gensler warned the financial industry that he won’t shy away from going after big firms pushing the limits in areas that are priorities for the agency, including crypto trading, cyber fraud and SPACs.

The WilmerHale partner discussed Regulation Best Interest, fraud detection and other industry compliance issues.

The grand jury indictment and a new filing by the SEC offer additional details on the case.

Doug Elstun catered to NBA and NFL sports stars, many of whom may not have known about his confidential client settlements outside of FINRA.

The securities lawyer and former NASD regional attorney explains why cases can be so hard to detect and what the industry can do to help.