Arbitration

Increased captive insurance coverage due to expanded business in 2018 was a primary driver of a three-year high in regulatory spending, the firm says.

The requirement is back in the spotlight as consumer advocates and business interests face off on proposal to outlaw this key provision of customer agreements.

The Ladenburg IBD failed to spot the red flags of a barred ex-advisor who later pleaded guilty to fraud, former clients say.

It may seem like your interests are aligned but there could be conflicts.

It's the first regulatory ding for the influential advisor and entrepreneur in almost 15 years.

Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.

Two advisors who joined Alex. Brown after the Deutsche Bank acquisition in 2016 seek to void the FINRA panel's arbitration decision in a court challenge.

Even the best clients in the most appropriate investments can panic when they’re watching their hard-earned savings shrink on a daily basis.

The clients say their advisor improperly invested their funds in a Miami Beach nightclub that failed.

Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors