FINRA

The wire fraud charge came nearly four years after the CFP Board revoked his certification.

The firm previously accused its former employee of using company stationery to continue to pass herself off as an Ameriprise advisor.

A group of attorneys raises concerns about extensive industry ties among FINRA’s public board members.

The rep neglected to tell Wells Fargo that a 97-year-old client had named him as beneficiary and co-executor of her estate.

"Data analytics is critical," says FINRA's chief risk officer.

The regulator was looking into customer complaints and arbitration claims that rep engaged in unsuitable trading.

The award marks the largest of its kind this year.

The senior's investments were overly concentrated with as much as 95% of her portfolio invested at times in oil and gas master limited partnerships.

FINRA rejected the advisor's claims as the firm resolved two longstanding compliance issues.

Susan Axelrod will leave the self-regulator after 28 years on the job.

The advisor reportedly sold $48,500 worth of securities in a purported computer products wholesaler without disclosing the transactions to his then employer, J.P. Morgan Securities.

The rep used an unauthorized ATM card to withdraw $1,000 from a bank customer's account, FINRA claimed.

Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.

Advisors should address client issues in-house, which sometimes means taking a hard look at supervisory controls, regulators say.

Reps recommended complex investments without restrictions, the regulator said.

It's a bigger challenge to keep pace with a fast changing industry, CEO Robert Cook said.

The regulator claimed he sold $2.63 million in equity-indexed annuities without disclosing the business to his employer, U.S. Bancorp Investments.

The change could alleviate firms’ recruiting worries that they must pay trainees to spend the first few months studying.

Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.

The storm devastated Puerto Rico, which has seen a surge of client complaints.