FINRA

For several years after the breakdown of a deal to sell a practice for $3.6 million, the parties have been accusing each other of violating the terms.

An attorney for Keith Todd Ashley said he plans to appeal his fraud conviction and plead not guilty to capital homicide.

The firm's latest supervisory case involving its oversight of former brokers comes as regulators and client attorneys have more tools under the 2-year-old rule.

Securian's alleged tactics with departing managing partners highlight a troubling trend among firms claiming to offer flexibility and freedom.

A behavioral science researcher and an HBCU planning professor gave financial advisors tangible steps that can alter the industry's legacy of exclusion.

In a panel at PIABA's annual conference, the head of the regulator's arbitration program discussed how the bombshell case has led to reforms.

A Centaurus financial advisor racked up hundreds of thousands of dollars in extra commissions through sales of pricey products, the regulator says.

The changes reflect an effort to give penalties more teeth, similar to what the regulator did last year with Robinhood's $70 million fine.

The wirehouse fabricated the terms of its recruiting bonus loan and client churning allegations against Anil Bhandari, he said in his first interview on the case.

Though many firms have abandoned commission-based models, they can still be found in certain parts of the country.