FINRA

The rep used an unauthorized ATM card he secretly created to swipe $120 from a customer's bank account, FINRA claimed.

The former United Planners' advisor conducted the sales without his firm's permission over nearly a decade, according to the regulator.

The wire fraud charge came nearly four years after the CFP Board revoked his certification.

The firm previously accused its former employee of using company stationery to continue to pass herself off as an Ameriprise advisor.

A group of attorneys raises concerns about extensive industry ties among FINRA’s public board members.

The rep neglected to tell Wells Fargo that a 97-year-old client had named him as beneficiary and co-executor of her estate.

"Data analytics is critical," says FINRA's chief risk officer.

The regulator was looking into customer complaints and arbitration claims that rep engaged in unsuitable trading.

The award marks the largest of its kind this year.

The senior's investments were overly concentrated with as much as 95% of her portfolio invested at times in oil and gas master limited partnerships.