J ames McDonald, a former financial advisor and CNBC pundit, has pleaded guilty to one count of securities fraud after more ...

A former registered investment advisor in Pennsylvania is facing civil and criminal charges over an alleged fraud that authorities say siphoned $20 million from more than a dozen clients over 10 ...

Besides the alleged murder and complex nine-month investigation, the case displays the troubling extent of the risk of financial advisor fraud in wealth management, industry experts say.

Fraud happens when you're promised low-risk ... is to keep investments as simple as possible," says John Stoj, a financial advisor in Atlanta and founder of Verbatim Financial.

A former Morgan Stanley financial advisor, Ronald Diaz, was sentenced to 22 months in prison for defrauding an elderly client ...

A Santa Maria financial advisor pleaded guilty to wire fraud in Los Angeles federal court on Tuesday, admitting she stole ...

A Long Island financial advisor facing fraud charges has now been charged with attempting to threaten and injure his alleged victims and witnesses, and of attempting to bribe law enforcement ...

A Berks County man accused of defrauding people who were clients of his financial businesses was convicted on 30 counts, involving multiple charges of fraud and money laundering. The United ...

A past Morgan Stanley financial advisor who pleaded guilty to defrauding an elderly client in July 2024 was sentenced to 22 ...