According to the commission, John Marques raised nearly $7.9 million and generated $824,000 in commissions from allegedly recommending and selling unregistered securities from the Florida-based company.

The firm will pay more than $16 million after the SEC argued 1st Global Advisors recommended certain mutual fund share classes for clients when more affordable options were available.

Industry experts share their insights on what 2022 might bring.

The commission’s Standards of Conduct Implementation Committee urged advisors and firms to be concise when writing their relationship summaries and to avoid unnecessary legal jargon.

The Securities and Exchange Commission and Commodity Futures Trading Commission imposed unusually stiff penalties on the firm and its subsidiaries for record-keeping violations.

Hearsay Systems is releasing a video prereview tool for compliance departments overwhelmed with the volume of advisor videos.

Paul Ricky Mata, who held online seminars called 'Finances God's Way,' fleeced the elderly and churchgoers, according to the Justice Department.

Retirement savers need more investment options, not fewer

ComplySci's deal for the compliance technology provider comes on the heels of a $120 million venture capital injection to fuel acquisitions.

Matthew Clason had previously worked with LPL and Lincoln Financial Advisors before being accused by both the DOJ and SEC of stealing from a 73-year-old Connecticut investor over several years.