FINRA

Many advisors have clients who took out the forgivable loans. Some wealth management firms did the same. Three years after the government doled out more than $800 billion in mostly-free cash, here's what's happening.

A Hornor, Townsend & Kent broker pitched "Future Income Payments" that turned out to be part of a $300 million scheme targeting veterans, investigators said.

The independent firm told financial advisors that selling their own practices without a greenlight from the corporate office could draw FINRA scrutiny.

The SEC's case against a barred former broker shows why regulators and the industry often struggle to catch repeat offenders before they harm investors again.

A 22-year veteran broker is headed to prison for "intentionally preying" on seniors and families of children with special needs, the district attorney says.

Part art, part science, Form ADV is the most important document an RIA will prepare — and one that will always require judgment calls.

A financial advisor from rival Cambridge Investment Research sought more than $1 million based on his claim that an OSJ at Royal Alliance broke the firm's rules.

The fintech startup is mining SEC, FINRA and other data to make information on financial advisors easier for consumers to digest.

In a decision that left out the details of alleged discrimination and tensions within the firm, a FINRA arbitration panel granted the broker's expungement request.

Even before the collapse of FTX, concerns about cryptocurrency and other risky investments were keeping regulators busy.

The giant wealth management firm allegedly made inaccurate representations to the regulator involving the call logs on two of its internal network drives.

A retired dentist won a huge FINRA arbitration award after accusing his best friend and longtime broker of trading in tech stocks without his consent.

Bradley Goodbred allegedly defrauded a widow in her 90s through a real estate investment scheme, the latest example of a rising number of scams targeting seniors.

FINRA accused FSC, Royal Alliance, SagePoint and Woodbury of "negligently omitting material facts" about an alternative asset manager, FINRA said.

For several years after the breakdown of a deal to sell a practice for $3.6 million, the parties have been accusing each other of violating the terms.

An attorney for Keith Todd Ashley said he plans to appeal his fraud conviction and plead not guilty to capital homicide.

The firm's latest supervisory case involving its oversight of former brokers comes as regulators and client attorneys have more tools under the 2-year-old rule.

Securian's alleged tactics with departing managing partners highlight a troubling trend among firms claiming to offer flexibility and freedom.

A behavioral science researcher and an HBCU planning professor gave financial advisors tangible steps that can alter the industry's legacy of exclusion.

In a panel at PIABA's annual conference, the head of the regulator's arbitration program discussed how the bombshell case has led to reforms.