FINRA

Robert Cook said wealth management firms "must do their part."

He confessed months after he was caught with 136 pounds of marijuana, investigators say.

The broker breached two promissory notes, which had outstanding balances of $544,000 and $345,000, according to a FINRA arbitration ruling.

Experts stress that advisers are on the frontlines in detecting when senior clients suffer from diminished capacity or fall victim to abuse.

They seek a refund and damages after they said the firm directed them to its Thinkorswim website, according to a FINRA arbitration filing.

He concealed 300 transactions over two years while raking in millions of dollars, investigators say.

The rep refused to provide the regulator with the documents it requested to investigate the allegations that he stole money from an elderly couple.

Does holding a CFP, ChFC or CFA correlate to better client service? At last, hard evidence shows that clients do better with designated planners.

A FINRA arbitration panel ordered the broker to give back the bulk of his $675,000 signing bonus to SunTrust.

In a complaint filed in federal court, PNC fired back at the hearing panel, saying that it exceeded its authority by disregarding the law.