FINRA

The adviser contended that not a single one of her clients from Schwab transferred their accounts over to J.P. Morgan.

Wirehouse system and supervisory failures are just the start.

The bank ignored fees on structured notes, and clients may have been shortchanged, a consultant says.

The regulator proposes new rules to protect aging clients.

The wirehouse agrees to pay a $2.8 million fine after the regulator discovers the bad reporting went on for years.

The adviser claimed PNC falsely accused him of not having met with two clients for their annual review and challenged the firm for writing him up for falsifying documents.

Firms should consider focusing on nuts-and-bolts issues like marketing and suitability of products if they want to avoid being the subject of FINRA disciplinary actions.

The firm failed to promptly liquidate his $3 million brokerage account, the client's lawyer argued during the hearing.

While employed at Huntington National Bank, the broker recommended a couple invest $350,000 — the bulk of their net worth — in two unit investment trusts, according to FINRA.

The regulator has filed a complaint against whistleblower Johnny Burris, who has filed multiple cases against one of its largest member firms, JPMorgan.