FINRA

The broker also purportedly neglected to disclose an outside real estate business to BBVA, FINRA said.

The accusations shed light on the massive back-office systems maintained by regulators and the difficulty of keeping the sensitive information in them private.

The regulator moved to eliminate a $400 fee for “explained decisions.”

The two IBDs have agreed to pay restitution in one of the largest securities fraud cases in the advisor’s home state.

The trade group cautions that the SEC could outsource advisor oversight due to low examination rates.

Ross Gerber says he left the firm to avoid its strict oversight of his press interviews and social media.

While some are mainstays, there are a few new ones to add to the list this year.

Investors were bilked out of approximately $611,000, say federal prosecutors.

Fearing the broker would leave, Citi distorted incidents he had with two colleagues in order to fire him and take his $200 million book of business, the broker’s lawyer says.

FINRA accused the advisor of unlawfully "structuring" a total of $77,560 by depositing cash into his bank accounts in amounts just below the $10,000 reporting threshold.

Citing mounting investor losses from unpaid arbitration awards, investor advocates see a role for Congress to force FINRA's hand.

Form U4s and U5s don’t always match up, but it’s still the advisor’s responsibility to be proactive, writes compliance expert Alan J. Foxman.

The Senator wants to know what the SEC is doing to prevent harassment at banks.

The rep borrowed $528,000 from a SunTrust client without the bank’s prior written approval, FINRA alleged.

The advisor lured the client into investing $100,000 in what he claimed was a private placement bond but instead deposited the money into his personal bank account, say federal prosecutors.

The advisor fleeced the duo of nearly $1 million by misappropriating their stock holdings and initiating unauthorized wire transfers from their bank account, prosecutors allege.

The scrutiny puts a spotlight on a small corner of the $3.4 trillion ETF industry.

The 84-year-old client wanted to preserve her wealth, but says her advisor made "unsuitable" asset allocations.

New FINRA rules will help the wealth management industry do its part to identify and prevent elder abuse.

The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.