Securities and Exchange Commission Chair Gary Gensler doubled down on his calls for more oversight of cryptocurrency trading platforms on Wednesday, offering new insight into his priorities as he seeks to crack down on the digital coin industry. 

How can ongoing legislation support a more equitable future and retirement — for all Americans?

An arbitrator ordered the minuscule payment despite taking the wirehouse to task in the ruling.

Ronald T. Molo of Illinois allegedly stole money from his clients for mortgage payments, home renovations, luxury SUVs and more.

Amid rising criticism of bans on court filings in wealth management, the firms’ customer agreements are getting as much scrutiny as those of brokerage firms.

Lina Maria Garcia, president and chief compliance officer of UCB Financial Advisers, has been charged for her alleged role in a fraud that funneled millions of dollars to her romantic partner’s parents.

Despite standout defamation awards, such as a $13.5 million payout to an ex-UBS rep, advisors and attorneys say firms are abusing their U5 power.

SEC commissioners Allison Herren Lee and Hester Peirce discussed ESG, digital assets, meme stocks and more during the 2021 Financial Markets Quality Conference, hosted by the Center for Financial Markets and Policy at Georgetown University.

The SEC head has already promised to take a closer look at crypto, online brokers and green investment funds. Now he is taking aim at the world of private capital.

In the wake of the regulator’s latest risk alert, compliance experts identify several steps advisors can take to stay clear of more cases and deficiencies.

The service’s recent move to set new requirements for claiming refunds on research tax credits is provoking an uproar among tax professionals.

Automated investing services use misleading language in marketing materials and portfolio management is not meeting fiduciary requirements.

FINRA alleges that the firm caused clients to incur more than $2.9 million in trading costs.

As the U.S. commonwealth’s fiscal restructuring awaits court approval, a fixed-income brokerage firm’s CEO is trying to drum up votes — or at least a quorum.

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.

At SIFMA’s annual conference, Charles Schwab CEO Walt Bettinger warned about potential overreach when it comes to regulating payments for order flow.

As Congress wrangles, advisors are struggling to figure out how to help clients.

The trade group launched the program in April, offering advisors and their teams and families coverage “at a fraction of the cost.”

The public record designed to give clients a means of researching their advisor has no mention of some allegations, such as those against Eileen Cure.

Despite the strict guidelines, it’s not clear that the new regulation made any impact at all on an increasingly common feedback and evaluation method.