“Your risk of being audited goes up,” says RIA powerhouse Ron Carson.

A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.

The rule’s impact could be “devastating if independent research ceases or is significantly diminished,” the manager warns.

Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

The breach follows other developments that have made offshore planning methods less attractive.

The SEC sought $3.4 billion in sanctions, the lowest total since 2013, according to data collected by a law professor at Georgetown University.

Home prices have returned to the boom levels of 10 years ago, which originally signaled the bursting of the housing bubble and the onset of the Great Recession, but today's market is notably different, according to realtor.com.

Even those who don’t work for Morgan Stanley could find themselves in a Catch-22.

Harmonizing a potential SEC regulation with that of the Labor Department is tricky business, experts say.

The rep neglected to tell Wells Fargo that a 97-year-old client had named him as beneficiary and co-executor of her estate.

"Data analytics is critical," says FINRA's chief risk officer.

Smaller and midsized firms typically have fewer resources, limiting the time available to complete annual examinations of their policies and procedures.

Congress moved quickly to fulfill one of the GOP’s biggest and most long-awaited goals.

An hour after Jennifer Sharkey was awarded $1.13 million in damages, the judge said she'll likely order a new trial if the two sides don’t reach a settlement because the verdict is "substantially flawed."

The new database is a good first step in helping to address gaps in the oversight of advisors, but more needs to be done, say industry observers.

The regulator was looking into customer complaints and arbitration claims that rep engaged in unsuitable trading.

Clients using FundKeeper can open new accounts, perform automated suitability checks and support level load funds under a single platform.

“People need to know what the rules are,” an industry consultant says.

The award marks the largest of its kind this year.