FINRA

From regulators to technology providers to CEOs, these are the players who will remake wealth management in 2017.

The regulator was looking into allegations that he structured transactions in his personal bank account to avoid federal reporting requirements.

Former Department of Labor officials allege systemic breakdown of whistleblower protection; two also handled Wells Fargo cases that went nowhere.

The problem began when a hyperlink was missing from where clients were accustomed to reviewing their transactions online.

Though against the firm's policy, the wirehouse still permitted the purchase of securities with credit lines "on thousands of occasions" during a four-year period, according to the regulator.

The Republican's hostility to all things Obama sets the stage for dramatic departures on financial regulation.

A FINRA panel ordered the wirehouse to pay damages to two former clients who invested in Puerto Rican municipal bonds and closed-end funds.

Whitley Hood declined to provide on the record testimony regarding allegations that she misappropriated funds from an affiliated bank.

The regulator, in a proposed final judgement, wants the former planner held liable for $123,000 spent on golf outings, shopping and cruises.

The former broker is accused of making false claims about his client list at Stifel to earn a compensation advance from another firm.