Switzerland's top prosecutor opened a probe to gather information into potential crimes that may have taken place around UBS's emergency takeover of Credit Suisse.

The case shines light on the risks of betting against a company's stock when merger or privatization deals are afoot.

A Hornor, Townsend & Kent broker pitched "Future Income Payments" that turned out to be part of a $300 million scheme targeting veterans, investigators said.

Compliance experts say financial advisors who boast publicly about their investment prowess should make sure they have support for their claims.

The independent firm told financial advisors that selling their own practices without a greenlight from the corporate office could draw FINRA scrutiny.

The stolen funds were allegedly spent on personal expenses including a swimming pool, crypto, luxury cars, a piano and a romantic relationship.

The case comes as employment suits related to mental health disabilities are expected to increase coming out of the pandemic.

The SEC's case against a barred former broker shows why regulators and the industry often struggle to catch repeat offenders before they harm investors again.

The service's Criminal Investigation unit investigated 975 tax and money laundering cases related to COVID-19 with fraud totaling $3.2 billion.

Cetera director of regulatory affairs sees Reg BI as a key way to preserve investor choices.

A 22-year veteran broker is headed to prison for "intentionally preying" on seniors and families of children with special needs, the district attorney says.

In an unusual case, regulators have accused a Boston investment advisor of violating his fiduciary duty by putting his clients into high-fee retirement products.

The incentive structures for both banks and large, sophisticated depositors have changed because of federal regulators' decision to guarantee the uninsured deposits of Silicon Valley Bank and Signature Bank.

Following the collapse of Silicon Valley Bank and a wider banking-sector panic this month, the smaller banks told regulators that explicitly insuring all deposits would stem the flow of money to the largest banks.

An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.

Is the banking sector in crisis? What happened, and what can bankers learn from this turmoil? Two of American Banker's reporters discuss the fallout and what comes next with the magazine's editor-in-chief.

Navigating challenges and what's ahead in banking regulation.

Part art, part science, Form ADV is the most important document an RIA will prepare — and one that will always require judgment calls.

The industry's fastest-growing business model puts two very different functions under one roof. Are investors — and advisors — clear on the differences?