Risk

With a recession deferred but still looming, investors who exit equities now may later regret playing it too safe.

Compliance experts warn that financial advisors should prepare for new requirements relating to ESG, custody, cybersecurity, private funds and many other issues.

The criminal case follows SEC charges alleging the Kaplans bilked clients to pay for luxury purchases like handbags, watches and a matchmaking service.

Elder financial fraud has skyrocketed in recent years, but research shows that financial professionals can help fight the growing issue.

The Wall Street regulator is targeting technology that offers advice that might be against clients' best interests — even if advisors are unaware of the conflict.

After the regulator's report raised questions about fairness to investors, PIABA is seeking new rules that would require advisory firms to make it easier to file complaints.

In one case, an ex-advisor is accused of defrauding clients with disabilities and spending their money on casinos and adult entertainment, among other things.

The new regulations are the latest attempt to ensure investors can't flee the funds in a panic during economic downturns.

An Army financial counselor defrauded loved ones of fallen soldiers for millions of dollars while breaching the rules of his position, federal prosecutors say.

The ex-financial advisors used clients' money on their businesses and other expenses like homes and travel, according to investigators.