FINRA

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.

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

David Olson, an advisor of nearly 30 years, worked at Morgan Stanley until his termination in 2016.

In addition to winning a $25,000 award, ex-J.P. Morgan rep Mihail Naumovski was able to expunge erroneous information on his Form U5 that he violated investment-related regulations.

The firm falsely claimed on his Form U5 that he deliberately changed a customer’s address from California to New Hampshire to facilitate the sale of an annuity, the broker alleged.

A former spiritual advisor to presidents George W. Bush and Barack Obama plans to turn himself in as his attorney vows innocence.

The broker misappropriated his clients’ investment money for rent, credit card bills and other personal uses, investigators say.

As the financial planning industry nears a fee-only, fiduciary world, independent broker-dealers will face some important choices about their future business models.

She'll now be responsible for supervisory operations at one of the largest firms she once helped regulate.