FINRA

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.

The firm allegedly profited $14 million by fabricating performance records.

Aaron Parthemer misrepresented investments to his pro athlete clients, the regulator claims.

Experts say such cases are commonly filed by advisors yet difficult to win.

The broker used the customer's money to buy two apartments in his name, rather than the customer's.

The one-time radio host allegedly spent client funds on a $1.45 million on a luxury suite at AT&T stadium, where the Dallas Cowboys play.

Payouts from advisory firms have reached nearly $80 million as the regulator targets excess fees.

The RIA rep fabricated account statements and used forged letterheads as part of the deception, investigators say.

The IBD aims to be a 17,000-strong firm, but not every advisor will want to join up, experts warn.

An advisor questions a witness’s qualifications.

The rep ignored FINRA's repeated requests for documents it needed to investigate allegations that she made inaccurate statements on a mortgage gift letter.