FINRA

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.

Regulators are contacting the bank after financial details of some 50,000 clients were inadvertently sent to an outside party, according to a person with knowledge of the matter.

FINRA claimed he intentionally structured 10 cash deposits totaling $50,000 in five personal bank accounts in amounts under the $10,000 currency transaction reporting threshold.

The former rep refused to comply with a FINRA investigation into allegations that he exercised influence over an elderly woman.

The rep impersonated an elderly customer in an attempt to move his retirement account from a rival institution, the regulator charged.

Regulation SP lays out the guidelines. In addition, just how many texts does a firm need to save?

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

The adviser refused to provide the regulator with the documents it needed to investigate allegations that he converted funds from a bank customer.

The firm has collected more than $1.1 million in arbitration cases so far this year.

Regulators now use deeper dives into specific areas rather than broad probes, experts say.

The rep was suspended for 18 months and fined $7,500 for allegedly adding his wife as a 50% primary beneficiary to a customer's variable annuity without the customer's knowledge.