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.

The firm announced last week that it would reinstate traditional brokerage for retirement accounts in October, giving new life to the conflicts it had eliminated.

Here's how to make the most of high-net-worth clients' charitable nature.

Wealthy families can enjoy a $2,000-per-child break with the expansion of the child tax

Instead, Chairman Jay Clayton should be looking for a quicker way for companies to move from private to public markets, and back.

The latest revelation of misconduct comes as the bank tries to overhaul its internal culture after two years of lawsuits, investigations and fines.

The policy had been under review after a federal appeals court vacated the fiduciary rule earlier this year.

Robert Graham allegedly solicited clients into risky investments, which he directed to his private company. He is the ex-chief of the Arizona Republican Party.

The brokerage firm is holding off on making major changes while regulatory frameworks shift once again.

Most people, particularly younger clients, worry that they will not be able to get their Social Security benefits by the time they retire.