FINRA

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.

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.