The cases against the investment advisory firms marked the first from the Enforcement Division's Exchange-Traded Products Initiative.

John Stumpf, who retired in 2016 after the bank’s deceptions came to light, agreed to pay a $2.5 million fine to settle the allegations.

Bharara, who became U.S. attorney for the Southern District of New York in 2009, might view the SEC as a consolation prize, as he’s been mentioned as a possible contender to lead the Justice Department.

VVP CEO Craig Findley has reunited with members of his former UBS team.

Captrust secures its first Colorado location with Shine Wealth Partners acquisition.

Dana Wilson found a simple unmet need in wealth management—the ability for retail investors to search specifically for Black and Hispanic advisors.

Robert C. Morgan will pay about $66 million in relief for harmed investors, but no additional monetary relief, according to the commission. Morgan faces separate charges in a civil suit brought by the Justice Department.