Be wary of advisors promising guaranteed returns or using strategies they can't explain. Red flags include pressure to invest quickly, secrecy demands, unlicensed status, or unsolicited cold calls.

In a final judgment, a federal court has ordered former investment adviser Richard G. Duncan of Springfield, Massachusetts, who defrauded two advisory clients by persuading them to invest in a scam ...

A look back at U.S. Securities and Exchange Commission (SEC) Chairman Paul Atkins' first six months shows that the emphasis on garden variety fraud, insider trading, and basic regulatory requirements ...