Even the most-seasoned professionals stand to gain a great deal by daring to step outside their comfort zones.

Like with GameStop in January, the SEC is looking for signs of market manipulation regarding AMC.

Centaurus Financial did not self-report 12b-1 fees charged to clients during an earlier amnesty period, prompting the SEC to levy the fine over conflicts and undisclosed revenue-sharing agreements.

Sutton, Mass.–based advisor James Couture was charged with wire fraud and aggravated identity theft and was accused of using client funds for his own personal and business expenses.

Advisors will have to navigate the ups and downs of investing in cryptocurrencies with a rational approach and strong risk management skills.