Having hit most of the big Wall Street firms with hefty fines for misusing WhatsApp and similar services, regulators are now turning their attention to independent advisors.

The giant insurer fired three financial advisors based on false claims about their specialty insurance consulting business, according to their attorney.

A magistrate judge finds the clients' family failed to put forward 'legally sound' claims that JPMorgan breached any duties by putting an elderly couple into risky securities tied to oil and gas.

With tax authorities scrutinizing partnerships, CPAs and tax pros need to think more strategically about filing for extensions.

The case is the latest to emphasize advisors' obligations to let investors know when they receive money for recommending certain mutual fund products.

The agency has indicted almost 800 people for COVID fraud, and has a 98.5% conviction rate.

The lengthy sentence marks a final chapter in a controversy that has captivated and overshadowed the crypto industry.

Both Donald Trump and Joe Biden have begun laying out their visions for the Tax Code.

A federal judge has signed off on the bankrupt crypto firm Genesis Global Capital's settlement with the Securities and Exchange Commission over allegations a digital-asset lending program it helped run violated the agency's rules.

Misconduct categories, new sanction factors and tweaks to the oversight procedure finish a process that started in 2016, General Counsel Leo Rydzewski said.