Whether it's a watchdog or up-and-coming advisor, claims and counterclaims are plentiful across the industry.

Fidelity’s foray into bitcoin for retirement plans could bring seriousness to cryptocurrencies. But not everyone is sold on the risky alternative.

Shawn E. Good has been an advisor for more than 30 years. He is now barred from the industry by FINRA.

FPA helps kill a sales tax bill, an NBA player’s former assistant gets jail time, UBS drops its appeal and pays a former compliance officer $14.1 million, and more.

First Horizon Advisors resolved a supervisory investigation involving a former rep after its parent firm announced it’s being purchased for $13.4 billion.

Barred broker Dain F. Stokes faces a criminal rap after raising hundreds of thousands of dollars for the phony philanthropic project, investigators say.

The FINRA arbitration decision omits any details or reasoning for the award in a case involving a broker’s email to his former colleagues.

Chris DiTata, vice president and general counsel of RIA in a Box, shares recommendations on how to make the process headache-free.

While many see a spot ETF as a way to solve problems such as contango and higher fees, there is skepticism that the SEC will approve one anytime soon.

With the barred former rep in the Dominican Republic, a court filing asks a state judge to toss a FINRA panel’s decision absolving the firm of responsibility.

Vania May Bell has admitted to helping her father run a scheme that started in the late 1990s and ended in 2018.

Once facing scrutiny for its relationship with a previous majority shareholder, the firm settled the regulator’s allegations about an issuer it called “Company A.”

David Hu apologized to the firm’s investors and clients, as well as his wife and two children, before being sentenced.

Even if they dislike digital assets, wealth planners have a fiduciary duty to understand their confusing and murky tax treatment.

UBS brokers rack up expungements of Puerto Rico complaints

Denise Badgerow won her long legal fight, while a Pennsylvania RIA and the Massachusetts securities regulator are currently weighing their options after decisions.

Financial advisor Jay Womack won a rare rebuke with a punitive payout after a messy split with his former business partner.

The regulator plans to focus on Reg BI, ESG criteria, private funds, cybersecurity and crypto assets in 2022, according to its closely watched report.

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.