SEC enforcement

Authorities say the now barred broker concealed his fraud through a variety of methods, including by creating falsified tax forms and lying to accountants.

Regulatory decisions, whistle-blower cases and acquisitions will define wealth management in 2018, and the people here will be the decision-makers who remake the industry.

The regulator charged the firm and its owner with fraud in a case centered on commissions and 12b-1 fees.

Advisors should expect more regulatory requirements, enforcement actions and uncertainty in 2018, experts say.

Medium-sized RIAs have few options, but the SEC’s examination priority list makes this a hot topic.

He intercepted checks from her home when she wasn’t there and forged her signature to steal her money, investigators say.

A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.

Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.

The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.

Chairman Jay Clayton and OCIE's director provided advisors with hints on the regulator’s methods.

The firm allegedly profited $14 million by fabricating performance records.

The case marks the firm’s second in a month, but its special investigations unit helped crack it.

The RIA rep fabricated account statements and used forged letterheads as part of the deception, investigators say.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.

The advisors collected $1.7 million by fraudulently pushing variable annuities, investigators say.

Some advisers are actually embracing changes by making the rules work for them.

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.