Bank Advisor

The rep used an unauthorized ATM card to withdraw $1,000 from a bank customer's account, FINRA claimed.

The regulator claimed he sold $2.63 million in equity-indexed annuities without disclosing the business to his employer, U.S. Bancorp Investments.

Finding success has gotten a lot harder for young advisors today, says Raymond James Complex Manager Tony Barrett.

When experienced advisors mentor new planners, they transform the profession in the process.

The advisor targeted clients he obtained at Social Security seminars, according to prosecutors.

The rep purportedly received an email from the impostor requesting that she sell securities to fund the wire request to a third-party in the United Kingdom.

The broker declined to appear for on-the-record testimony regarding expense reimbursements that SunTrust alleged were not valid expenses, according to FINRA.

A different regulatory landscape is encouraging brokers to reconsider their options.

The broker recommended that a recently retired couple invest $135,000 in a non-investment grade municipal bond intended only for sale to institutional buyers.

Thomas Fickinger managed over 1,350 advisors generating $1.5 billion in revenue in 2016.