Law and regulation

Elder financial fraud has skyrocketed in recent years, but research shows that financial professionals can help fight the growing issue.

A 2018 law protects wealth managers who report scams against seniors — but it can only help them if they're aware of it.

The case comes as employment suits related to mental health disabilities are expected to increase coming out of the pandemic.

While depositors will be made whole under an extraordinary move by regulators, a fire sale of the entire bank and advisors fleeing to competitors create new challenges.

In addition to voluminous recordkeeping, due diligence and expense, what constitutes a "covered function" may vary from firm to firm.

While new data shows Black individuals investing more, the trend has been driven by a focus on riskier investments.

Jes Staley's friendship with the disgraced financier casts an unflattering light on the Wall Street bank.

Competitors are angling to create exchange-traded funds as a share class of their U.S. mutual funds — A Vanguard hallmark.

Federal authorities say Raymond A. Erker ran a Ponzi scheme that defrauded 54 people, but he maintained he did nothing wrong while on the stand.

Joseph Orazio DeGregorio convinced his victims to invest in promissory notes and companies that never even existed.