Compliance

Investigators say the broker spent his clients’ money on luxury cars and home improvements.

Compliance and technology hurdles have snarled firms’ efforts to address a longtime gripe.

The advisor transferred funds from his sibling's Wells Fargo accounts and deposited them into a jointly owned account that he used to pay off credit card debts and fund home improvements, FINRA claimed.

A working financial planner assumes leadership of the board as its influence in Washington and nationwide hits a high mark.

Advisors reported significant growth in assets under management and expect more of the same in the coming months.

It’s not easy, but advisors who believe they were wronged can request their records be expunged, an expert says.

The regulator outlined the top priorities for 2018 examinations.

New digital currencies are subject to little or no regulation, the investor protection watchdog cautions.

Complaints lodged against the firm through Dec. 15 dropped 18% from the same period of 2016, federal figures show.

Critics say the practice of using non-attorneys, some with criminal records, to represent investors often makes their problems worse. Advocates say it's cheaper.