FINRA

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.

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

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.

Shelley Steuer Freeman, the bank's former Los Angeles regional president and head of Consumer Credit Solutions, was barred for refusing to provide FINRA with documents it requested.

The advisors collected $1.7 million by fraudulently pushing variable annuities, investigators say.

The rep took more than $1,500 from the bank's cash drawer over a three-month period beginning on New Year's Eve last year, FINRA claimed.

The violations ranged from the improper reuse of signed customer forms to the execution of discretionary transactions without written authorization.

Collectively the four firms provided market access to numerous clients that executed millions of trades per day.

The move will streamline investigations and standardize sanctions, the regulator says.

The rep claimed the firm misled him when they recruited him from PNC Bank.

The Labor Department is receiving a deluge of feedback from advisers and investors on whether to revise its controversial regulation.