FINRA

The CFP Board’s new code of ethics should be celebrated for embracing the fiduciary concept — will the standards be strengthened even more in the future?

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.

How often should CCOs pay a visit to branch offices?

The defrauded clients included the advisor’s own in-laws, who had suffered from Alzheimer’s and a debilitating stroke.

The Massachusetts senator is struggling to get data that shows how bad sexual harassment might be on Wall Street.

Timothy Scheve will complete the term of John Thiel, the former head of Merrill Lynch, who left FINRA's board earlier this year.

The claim alleged negligence, fraud and misrepresentation, according to the regulator.

Former CEO Mark Casady disclosed in arbitration testimony what led to the firing that resulted in a $30 million claim against the firm.

The self-regulatory body says working with data aggregators increases the risk of cyber fraud, unauthorized transactions and identity theft. But aggregators say other links in the information chain are more vulnerable.

Advisors should conduct a comprehensive suitability analysis before initiating 1035 exchanges.

When your client is a foreign national, it pays to find out if the same regulations apply.