Risk

A bill before Congress would let planners with certain securities licenses place clients' money in private markets regardless of their income or net worth.

The firm and an advisor kept clients in leveraged funds for extended periods, even though they were often meant to be held for a single day.

Investors who fled equities during last year's rout have not benefited from subsequent recovery.

In a new risk alert, the Wall Street regulator warns about lapses with cybersecurity, email and third-party vendors.

A pair of veteran brokers and six other defendants face hundreds of felony counts in a long-developing state enforcement case out of Toledo, Ohio.

FINRA and NORC survey results suggest the flood of new investors hasn't slowed since the pandemic, and many of them are coming for digital assets.

The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.

Researchers find that performance expectations are highest among people who invest in environmental, social and governance causes for moral reasons.

The case offered the latest example of a serious prison term for financial exploitation of older adults — a problem experts say is even bigger than the sobering statistics.

The action comes as the SEC plans heightened scrutiny of advisor disclosures and activity, and serves as a reminder to stay on top of the basics.

A 20-year veteran advisor sold more than $7 million worth of investments pitched by an accused fraudster connected to his friend from Bible study, the regulator said.

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

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

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.

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.

A new study by FINRA and NORC offered encouraging signs that people who put money into stocks and bonds for the first time in 2020 are in it for the long run.

The chair warned that fund companies using predictive analytics need to ensure the technology places their clients' interests first.

FINRA arbitrators approved the expungement of client complaints that had already led to significant payments as the SEC considers a new rule reforming the process.

The SEC, FINRA and NASAA issued an investor alert warning of fraud, fees and tax complications for self-driven retirement accounts that invest in alternative assets.

A case involving Moors & Cabot's explanations about its conflicts of interest from cash sweeps signals how the regulator's actions are ramping up.