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.

The New York-based advisor is accused of defrauding at least 56 investors.

Defense cites a heart condition caused by a Brazilian parasite as a reason for lesser time.