FINRA

He concealed 300 transactions over two years while raking in millions of dollars, investigators say.

The rep refused to provide the regulator with the documents it requested to investigate the allegations that he stole money from an elderly couple.

Does holding a CFP, ChFC or CFA correlate to better client service? At last, hard evidence shows that clients do better with designated planners.

A FINRA arbitration panel ordered the broker to give back the bulk of his $675,000 signing bonus to SunTrust.

In a complaint filed in federal court, PNC fired back at the hearing panel, saying that it exceeded its authority by disregarding the law.

Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.

C.L. King & Associates argued it did not break any FINRA rules.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

One refused to cooperate with an investigation into allegations that he engaged in unauthorized trading in two customers' accounts.

The regulator wants the exam process to be a dialogue with firms and advisers.