State regulators

An emergency cease and desist order stopped the imposters in time.

The former J.W. Cole advisor’s practice allegedly sold more than $40 million worth of unsuitable and unregistered promissory notes.

The firm will also pay a penalty and offer to buy back variable annuities the former broker sold to 21 other investors.

The commission “failed to enact a meaningful conduct rule,” state regulator William Galvin says.

Frederick McDonald Jr. is accused of failing to disclose key risk factors regarding the complex world of the cannabis manufacturing industry.

Even as Nevada, Maryland and New Jersey press ahead with their own proposals, the IAA seeks exemption for SEC-registered advisors.

When two agencies are probing your firm, it doesn’t hurt to ask that they coordinate their efforts.

Not all firms have procedures in place. Of those that do, about 20% aren’t enforcing them.

Joel N. Burstein allegedly helped his father-in-law defraud foreign investors hoping to immigrate to the U.S.

State Treasurer John Chiang says that Wells Fargo is keeping patterns of abuse hidden from view by resolving customer disputes through private arbitration.

Missouri legislators inadvertently passed a law that would outlaw the Certified Financial Planner credential.

Texas securities watchdog derided the advisor for not considering the costs associated with an equity trading strategy he employed for certain clients.

Here’s what to tell your clients about investing in marijuana.

William Michael Jordan, who co-founded a popular all-woman rideshare service in Southern California, agrees to industry bar.