FINRA

Former Department of Labor officials allege systemic breakdown of whistleblower protection; two also handled Wells Fargo cases that went nowhere.

The problem began when a hyperlink was missing from where clients were accustomed to reviewing their transactions online.

Though against the firm's policy, the wirehouse still permitted the purchase of securities with credit lines "on thousands of occasions" during a four-year period, according to the regulator.

The Republican's hostility to all things Obama sets the stage for dramatic departures on financial regulation.

A FINRA panel ordered the wirehouse to pay damages to two former clients who invested in Puerto Rican municipal bonds and closed-end funds.

Whitley Hood declined to provide on the record testimony regarding allegations that she misappropriated funds from an affiliated bank.

The regulator, in a proposed final judgement, wants the former planner held liable for $123,000 spent on golf outings, shopping and cruises.

The former broker is accused of making false claims about his client list at Stifel to earn a compensation advance from another firm.

FINRA alleged he communicated with customers about standby letters of credit and bank guarantees outside the scope of his authority.

The firm was fined $1.57 million and must pay clients another $1.85 million for related infractions, the regulator said.

FINRA fines Lincoln Financial Securities for foreign hack attack.

A friendly memo to help top regulators in the next administration set priorities. One key point: planners and fee-compensated IRAs are the least of your worries.

FINRA claimed the firm failed to adequately supervise the execution and approval of powers of attorneys submitted by non-U.S. customers of J.P. Morgan Private Bank.

Regulator comes down hard on compliance failures; additional $6.3 million must be paid back to investors.

A planner tells compliance expert Alan J. Foxman that he's concerned a court-appointed guardian is not acting in an aging client's best interests.

FINRA plans to add 1,000 new arbitrators this year to improve its troubled dispute resolution process, but offers few new details on some of its largest challenges.

The regulator is asking firms to provide details of their cross-selling programs, including incentives offered brokers and other employees.

The adviser contended that not a single one of her clients from Schwab transferred their accounts over to J.P. Morgan.

Wirehouse system and supervisory failures are just the start.

The bank ignored fees on structured notes, and clients may have been shortchanged, a consultant says.