FINRA

When measured against a standard of care for best interest advice, digital wealth managers fall short, attorney Melanie Fein argues.

FINRA claimed the broker attempted to secure a buyer for 10 sellers of Iraqi dinar currency in anticipation of a finder's fee.

The impartial conduct standards have boosted clients’ chances, a longtime arbitrator says.

The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.

The firm allegedly profited $14 million by fabricating performance records.

Aaron Parthemer misrepresented investments to his pro athlete clients, the regulator claims.

Experts say such cases are commonly filed by advisors yet difficult to win.

The broker used the customer's money to buy two apartments in his name, rather than the customer's.

The one-time radio host allegedly spent client funds on a $1.45 million on a luxury suite at AT&T stadium, where the Dallas Cowboys play.

Payouts from advisory firms have reached nearly $80 million as the regulator targets excess fees.