FINRA

Overall, the advisor defrauded at least nine clients out of $1 million, which he used to pay for tuition and mortgage payments, federal prosecutors say.

In addition to being fired, advisors could also face suspension and fines — all from the carelessness of not carefully reading one simple question.

The Ponzi-like scheme used investor funds to pay other investors’ debts and cover personal expenses.

One topic under alleged examination is the monthly process through which prices of the benchmark’s futures contracts are calculated.

The dirty little secret about elder exploitation is that almost 60% of cases involve a perpetrator who is a family member, according to a 2014 study.

Miguel Ballestas was discharged from the firm after allegations of insider trading.

Allegations of undisclosed private securities transactions by a former advisor followed two significant mutual fund cases involving the IBD network’s practices.

The funds paid for multiple vehicles, bedroom furniture and debts at casinos, prosecutors say.

New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.

The advisor fooled her victims into thinking she would invest their funds when in fact she used the money to buy luxury items and real estate, prosecutors claim.