FINRA

A federal judge issued a restraining order and a temporary asset freeze against the former broker.

A federal judge ruled that the ex-Barclays advisor had been unfairly forced into FINRA arbitration, where a panel had ruled against him.

A new rule addresses double jeopardy, but doesn’t apply in older cases.

The rep initially alleged his wallet had been stolen and someone forged his signature. He later claimed he must have been drugged.

The broker allegedly sold $285,250 worth of shares to four investors.

The firm was also ordered to pay $62,807 in restitution to affected customers, plus interest.

The broker slashed her payment by pressing for funds she said the firm promised but never paid.

Stocks and Puerto Rican bonds are the focus of many cases among clients, advisers and firms.

The transactions cost the client $575,000 in fees and lost dividend payments, according to FINRA.

The increase was due to the rise in the size and number of "supersized" fines of $1 million or more; meanwhile, restitution fell 71% from the previous year.

The latest developments make columnist Bob Veres wonder whether he has fallen through a wormhole.

An adviser at the firm squandered the aging clients' retirement money on oil and gas investments and Puerto Rico bonds, their lawyer said.

The broker was terminated after a series of unauthorized transactions involving the accounts of customers of both BBVA and its affiliate bank, FINRA claimed.

The regulator rebuked the broker for excessive trading that generated more than $666,000 in commissions and fees and resulted in $397,000 in losses.

Organization takes the case "to put a spotlight on a bank that may have engaged in misconduct more significant than Wells Fargo's."

The former planner says she was wrongfully terminated and that she did not agree to settle with the wirehouse.

FINRA chided the rep for following through on trading instructions received via email from bank employees without confirming the transactions with the customers.

Morgan Stanley and Advisor Group are moving ahead with changes despite the possibility that the Department of Labor's regulation could be reversed.

FINRA barred the former J.P. Morgan rep for allegedly using customer debit cards to steal $1,002.

One barred broker borrowed funds from clients without approval, according to FINRA.