FINRA

A former rep has drawn at least 30 claims after pleading guilty to fraud, while clients of another ex-LPL advisor are seeking damages five years after his initial arrest.

Not a great idea, says Alan Foxman, but if you’re determined, there may be a way.

Bruce K. Lee left the brokerage world where cheating on continuing education requirements can be a "career killer."

The authors of a PIABA Foundation study describe a system in which it’s ‘almost impossible’ to put the public’s interests first.

Her hospitalized client's accounts had more than $14 million in transactions over a nine day period, according to FINRA.

The cases allege unsuitable recommendations of LPs issued by affiliates of GPB Capital, which faces multiple investigations.

BrokerCheck is potentially missing critical information clients need to evaluate brokers, investor advocates say.

Although FINRA cannot investigate potential wrongdoing by these former employees, state regulators are expected to do so.

Deciding what does or doesn’t constitute a “material change” can be a tough call.

The regulator’s move follows a Financial Planning investigation into whistleblowing by former JPMorgan financial advisor Johnny Burris.