Consumer advocates cheered the outcome of the case and the regulator's enforcement push in recent years. Commonwealth's case is still pending.

Between winning awards for her work in the DEI space and educating chief compliance officers, the ComplySci leader keeps a full schedule.

An attorney for Keith Todd Ashley said he plans to appeal his fraud conviction and plead not guilty to capital homicide.

Taking effect on Nov. 4, new advertising standards will allow client testimonials and bring together prohibitions on false and misleading language.

By keeping an eye on the future and potential new tax developments, tax advisors can offer their clients a sense of stability and proactive tax planning.

Wells Fargo, which set aside $2 billion last quarter to deal with legal matters, said it's in discussions with the Consumer Financial Protection Bureau to resolve investigations.

The firm's latest supervisory case involving its oversight of former brokers comes as regulators and client attorneys have more tools under the 2-year-old rule.

Shareholder documents, now at least hundreds of page long, will have to limit themselves to portfolio, performance and expense information.

An industry group contends that the commission is overestimating RIAs' control over outsourced services.

In a panel at PIABA's annual conference, the head of the regulator's arbitration program discussed how the bombshell case has led to reforms.

Almost 60% of the 564 respondents in a recent survey indicated they viewed the recent spate of legal action in crypto as a positive sign for the asset class.

Securities America has paid more than $15 million in an SEC case and settlements with the fraud victims of Hector May and his daughter, Vania May Bell.

JPMorgan Chase has hired a new head of digital assets regulatory policy, less than a month after CEO Jamie Dimon told lawmakers that cryptocurrencies are "decentralized Ponzi schemes."

More than 60 tax provisions are going up, according to Rev. Proc. 2022-38.

A Centaurus financial advisor racked up hundreds of thousands of dollars in extra commissions through sales of pricey products, the regulator says.

Grayscale Investments, the largest crypto asset manager, said the Securities and Exchange Commission acted arbitrarily earlier this year in rebuffing a bid to convert its $12 billion spot bitcoin trust into an exchange-traded fund.

The financial advisory firm cited recent conversations with the Federal Deposit Insurance Corp., where the current leadership is widely seen as unwelcoming of efforts to open new ILCs.

A basic scam victimizing a client who has since been diagnosed with dementia evaded any red flags for eight years, according to the SEC.

A dual Romanian-U.S. citizen has been fighting an IRS contention that he owes $2.7 million for failing to submit FBAR forms.

The SEC said Monday Kardashian was paid $250,000 to post on her Instagram account about EMAX tokens, a crypto asset offered by EthereumMax.