The SEC has repeatedly rewarded firms who self-reported their use of WhatsApp and other unauthorized communication means with leniency.

The state securities agency is trying to shut down two entities falsely claiming to be wealth management firms operating out of the same building as the agency itself.

Everyone should have a Power of Attorney for Healthcare.

The lines between wealth management and banking are blurring, opening up new opportunities, as well as new competition.

The firms will collectively pay $200,000 to settle the charges, which focused primarily on their use of hypothetical performance.

A cadre of US regulators are scrutinizing the firm’s efforts to prevent potential money laundering by wealthy clients.