FINRA

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.

The wirehouse failed to properly supervise more than $33 billion worth of UIT transactions, according to FINRA.

The rep purportedly received an email from the impostor requesting that she sell securities to fund the wire request to a third-party in the United Kingdom.

New FINRA guidelines lay out the consequences.

The practice left its BD less than a year after John Hancock acquired Transamerica Financial Advisors.

The broker declined to appear for on-the-record testimony regarding expense reimbursements that SunTrust alleged were not valid expenses, according to FINRA.

In recruiting more women and minorities, the regulator aims to reshape its homogeneous roster of arbitrators.

The broker recommended that a recently retired couple invest $135,000 in a non-investment grade municipal bond intended only for sale to institutional buyers.

How to stay out of trouble if a customer praises your investing prowess on your site.

When measured against a standard of care for best interest advice, digital wealth managers fall short, attorney Melanie Fein argues.

FINRA claimed the broker attempted to secure a buyer for 10 sellers of Iraqi dinar currency in anticipation of a finder's fee.

The impartial conduct standards have boosted clients’ chances, a longtime arbitrator says.

The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.