FINRA

The accusations shed light on the massive back-office systems maintained by regulators and the difficulty of keeping the sensitive information in them private.

The regulator moved to eliminate a $400 fee for “explained decisions.”

The two IBDs have agreed to pay restitution in one of the largest securities fraud cases in the advisor’s home state.

The trade group cautions that the SEC could outsource advisor oversight due to low examination rates.

Ross Gerber says he left the firm to avoid its strict oversight of his press interviews and social media.

While some are mainstays, there are a few new ones to add to the list this year.

Investors were bilked out of approximately $611,000, say federal prosecutors.

Fearing the broker would leave, Citi distorted incidents he had with two colleagues in order to fire him and take his $200 million book of business, the broker’s lawyer says.

FINRA accused the advisor of unlawfully "structuring" a total of $77,560 by depositing cash into his bank accounts in amounts just below the $10,000 reporting threshold.

Citing mounting investor losses from unpaid arbitration awards, investor advocates see a role for Congress to force FINRA's hand.