FINRA

Approximately $4,500 was used to sponsor a cricket club via a shell company, authorities say.

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.

Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.

C.L. King & Associates argued it did not break any FINRA rules.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

One refused to cooperate with an investigation into allegations that he engaged in unauthorized trading in two customers' accounts.

The regulator wants the exam process to be a dialogue with firms and advisers.

Robert Cook detailed his multi-year overhaul aimed at easing compliance, revisiting old rules and rooting out bad actors.

Former Vanguard CEO Jack Brennan says the Labor Department has already succeeded in swaying firms and investors over to best-interest advice.

Learn which occasions mandate disclosure. Also, is political activity allowable at the office?

A FINRA arbitration panel dismissed the firm's claims but charged the broker more than $11,000.