The Colorado advisor entered a consent order with state regulators after putting client money into an unlicensed Blockchain investment fund.

States are cracking down on firms’ cybersecurity practices, after finding 590 deficiencies during exams last year.

Steps advisors should take to understand critical details about their clients.

For more than 25 years as an RIA, I’ve witnessed first-hand how being required to meet the “best interest standard” benefits clients. Broker/dealer clients deserve the same safeguards.

Biotech billionaire Phillip Frost steps down as chairman in the wake of recent SEC allegations. CEO Richard Lampen steps in.

To learn what everyday clients really think about their advisors, and what all advisors can learn from them, we talked to Mike Gnitecki, 33, a paramedic and firefighter in Longview, Texas.

Favored clients allegedly got the winning trades and others got the losers so the firm could profit more.

The SEC’s proposed document required for its Regulation Best Interest is written at a “14th grade level,” according to a new analysis, and uses jargon unfamiliar to most.