The SEC said Anson Jean-Pierre told investors the funds would be used to develop projects in Haiti, but he actually spent some of the money on things like retail and travel purchases.

The workplace reflects the conscience of the leaders and the culture they create.

The new Reddit-like financial education forum is advisor-friendly and, for the right ones, has lead-gen potential.

Advisor Craig Rumbaugh led clients into investments that turned out to be a Ponzi scheme and failed to disclose his commissions.

The states are the two latest to create their own regulations based off the model passed by the National Association of Insurance Commissioners earlier this year.

The Office of the Comptroller of the Currency found the bank had deficient risk-management practices and lacked appropriate checks on conflicts of interest.