The advisor allegedly sold $13 million worth of high-risk securities without disclosing that she earned commissions of up to 18%.

Two of the league's top lifetime earners, Tim Duncan, and now Kevin Garnett, say Banks collectively stole more than $100 million.

Helping clients navigate the complexities of tax reform is even more of a priority.

Regulators in Massachusetts launched a “sweep” of more than 60 firms that sold nearly $1.3 billion in limited partnerships sponsored by GPB Capital.

Regulators including FINRA are looking at ways to help spur innovation.

The IBD’s advisors did not understand investments they sold to clients, the SEC says.

The agency says the biotech magnate and nine others made $27 million pumping up penny stocks.

How to report a transaction that should have been disclosed to regulators long ago, but wasn’t.

The firm allegedly encouraged clients to use an affiliated investment advisor, and benefitted from the fees it charged them.

A settlement with Massachusetts regulators resolved a nontraded REIT case, but NPH’s terminations from FINRA and a handful of states are still pending.

More trouble for the embattled company.

Clients need more advice — and advisors must do better analysis before making recommendations.

The SEC says the 33% owner of the parent of the IBD network participated in unlawful microcap stock sales resulting in “virtually worthless” investments.

In response to a Supreme Court ruling, the regulator will revisit 126 legal proceedings, including nearly two dozen advisor cases.

Joel N. Burstein allegedly helped his father-in-law defraud foreign investors hoping to immigrate to the U.S.

Piwowar was appointed to the SEC by President Obama in 2013.

An advisor kept working with clients, and impersonated others on phone calls with Schwab, the SEC says.

The broker, Michael Siva, was one of seven people charged with securities fraud last year.

With Elad Roisman’s appointment, Republicans could have a big advantage at the SEC by year end.