FINRA

Americans over age 60 reportedly lose $28.3 billion each year to fraud. The problem may be even worse than advisors thought, a new study says.

The changes come in response to questions that arose over the previous removal of a member from one of the regulator's three-person arbitration panels.

The regulator accused a broker-dealer of not having proper supervisory procedures to prevent $533,500 in excessive transactions.

A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.

The Wall Street regulator tweaked how it handles frequent inspections after the GAO uncovered shortcomings in its practices two years ago.

An Army financial counselor defrauded loved ones of fallen soldiers for millions of dollars while breaching the rules of his position, federal prosecutors say.

A staff member in the firm's fraud investigations group found reporting failures dating back to 2009.

Fiduciary responsibility, pay discrimination and FINRA remote work rules for broker-dealers are just some of the issues facing the wealth management industry.

Betsy Jo Merritt accused regional directors of undermining her succession plan and causing the loss of millions of dollars in damages.

Many advisors have clients who took out the forgivable loans. Some wealth management firms did the same. Three years after the government doled out more than $800 billion in mostly-free cash, here's what's happening.

A Hornor, Townsend & Kent broker pitched "Future Income Payments" that turned out to be part of a $300 million scheme targeting veterans, investigators said.

The independent firm told financial advisors that selling their own practices without a greenlight from the corporate office could draw FINRA scrutiny.

The SEC's case against a barred former broker shows why regulators and the industry often struggle to catch repeat offenders before they harm investors again.

A 22-year veteran broker is headed to prison for "intentionally preying" on seniors and families of children with special needs, the district attorney says.

Part art, part science, Form ADV is the most important document an RIA will prepare — and one that will always require judgment calls.

A financial advisor from rival Cambridge Investment Research sought more than $1 million based on his claim that an OSJ at Royal Alliance broke the firm's rules.

The fintech startup is mining SEC, FINRA and other data to make information on financial advisors easier for consumers to digest.

In a decision that left out the details of alleged discrimination and tensions within the firm, a FINRA arbitration panel granted the broker's expungement request.

Even before the collapse of FTX, concerns about cryptocurrency and other risky investments were keeping regulators busy.

The giant wealth management firm allegedly made inaccurate representations to the regulator involving the call logs on two of its internal network drives.