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.

A new potential fiduciary rule and a court decision involving independent contractors have the industry and consumer advocates watching carefully.

The guidance touches on the controversial policy debate about conflict-of-interest rules and what it means for brokers to act in the interest of their clients.

Alpine Securities will seek to overturn a FINRA finding that it saddled clients with “unreasonable” fees and converted accounts without authorization.

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

General Counsel Leo Rydzewski said more help is on the way as the organization bolsters its repository of tips and how tos.

The role of Switzerland as a place for Russia’s wealthy to stash their money is coming under increased examination.

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

The FINRA order includes allegations relating to the LJM Preservation & Growth Fund, another product sold in large numbers by the industry.

A FINRA arbitration panel awarded former clients of First Allied Securities the full damages they requested in the case.

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

The commission issued a 500-plus-page proposed rule Monday that would mandate corporate disclosure of greenhouse gas emissions.