FINRA

A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.

The Wall Street regulator tweaked how it handles frequent inspections after the GAO uncovered shortcomings in its practices two years ago.

An Army financial counselor defrauded loved ones of fallen soldiers for millions of dollars while breaching the rules of his position, federal prosecutors say.

A staff member in the firm's fraud investigations group found reporting failures dating back to 2009.

Fiduciary responsibility, pay discrimination and FINRA remote work rules for broker-dealers are just some of the issues facing the wealth management industry.

Betsy Jo Merritt accused regional directors of undermining her succession plan and causing the loss of millions of dollars in damages.

Many advisors have clients who took out the forgivable loans. Some wealth management firms did the same. Three years after the government doled out more than $800 billion in mostly-free cash, here's what's happening.

A Hornor, Townsend & Kent broker pitched "Future Income Payments" that turned out to be part of a $300 million scheme targeting veterans, investigators said.

The independent firm told financial advisors that selling their own practices without a greenlight from the corporate office could draw FINRA scrutiny.

The SEC's case against a barred former broker shows why regulators and the industry often struggle to catch repeat offenders before they harm investors again.