Regulation

The advisor opted not to fight FINRA, saying the allegation against him is without merit.

The accused broker worked at Oppenheimer & Co. when the scheme began in 2009.

Why some analysts say the proposed fiduciary standard could mean fewer and more costly investment choices for clients; Plus, five money milestones for clients to hit in their 40s.

The former wirehouse advisor declined to participate in the arbitration case filed against her by the firm.

Once a source of agita mainly for commercial banks and credit card companies, hackers are now training their sights on investment firms, broker-dealers and hedge funds.

Panel envisions a recognizable credential that would help investors distinguish between financial professionals committed to clients' best interest and those pushing products.

Heightened demands for data from regulators has meant the past practice of using spreadsheets to collect information is not only outmoded, but could leave a firm exposed to liabilities.

The wirehouse recruited two Morgan Stanley advisors, one of whom was previously terminated by Merrill in 2001, according to FINRA records.

Experts say the Fed is likely to kick the can down the road once more on rate hikes, setting up December as the next likely time for action.

Bennett and her firm claimed to be managing more than $2 billion in assets when the real number was no more than one-fifth of that amount, the SEC alleges.