Digital advice is vulnerable to bait-and-switch and choice manipulation schemes.

The industry has resisted the SEC’s Consolidated Audit Trail surveillance system ― dubbed CAT ― in its current form based on cybersecurity concerns.

The regulator charged the firm and its owner with fraud in a case centered on commissions and 12b-1 fees.

"Sunlight is the best disinfectant," investor advocate says of regulator's move to keep disciplinary problems in public view.

Industry experts offer their forecasts for leading trends in the coming year.

It’s a common practice but a dangerous one.

The former broker met some of his roughly 60 victims through his associations with the NFL and the University of Virginia, where he also played football, federal prosecutors said.

One expert suggests the SEC could develop a new system to evaluate firms' conflicts, assigning scores similar to those from Consumer Reports.

Advisors should expect more regulatory requirements, enforcement actions and uncertainty in 2018, experts say.

Medium-sized RIAs have few options, but the SEC’s examination priority list makes this a hot topic.

Bradley Mascho helped Bennett defraud at least 46 investors, including many seniors, the regulator charges.

Some advisors are holding out in case the technology changes.

Dec. 11: Asset management experts say these topics will be key drivers in 2018.

In the wake of the DoL fiduciary rule, documenting client profiles and recommendations boosts compliance.

He intercepted checks from her home when she wasn’t there and forged her signature to steal her money, investigators say.

A recent report provides insights into the regulator's concerns, that include cybersecurity, anti-money laundering and alternative investments.

The proposed overhaul may severely limit investors’ ability to minimize capital gains on stock.

The bank's retail brokerage business sold customers shares in mutual funds with front- or back-end sales charges when they were eligible for Class A shares that waived the upfront sales load, FINRA claimed.

Integration, scalability and service model are key to selecting a vendor.

Survey shows advisors accept fiduciary mindset but do not see major impact on product choices yet.