Compliance

The award marks the largest of its kind this year.

FINRA rejected the advisor's claims as the firm resolved two longstanding compliance issues.

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

The advisor reportedly sold $48,500 worth of securities in a purported computer products wholesaler without disclosing the transactions to his then employer, J.P. Morgan Securities.

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

Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.

The independent broker-dealer’s executive team hopes the SEC works with the DoL to develop an industry standard.

State administrators find reason for scrutiny in advisors’ increasing use of flat fees.

IHT Wealth Management now has $2.4 billion in client assets.

Advisors should address client issues in-house, which sometimes means taking a hard look at supervisory controls, regulators say.

Clients are looking to be reassured about the security of their data.

The board metes out punishment against planners Jeffrey and Kimberly Camarda after they unsuccessfully sued the board.

Reps recommended complex investments without restrictions, the regulator said.

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

Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.

Last year, the Democratic senator argued successfully for the termination of Sloan's predecessor as chief executive, John Stumpf.

Recent criminal charges parallel another case brought by the SEC against the broker.

Most advisors don’t have required safeguards in place, one expert says.

State examiners are finding more shortcomings. At the same time, advisors face bulked-up regulators probing more aspects of their practices.

The wirehouse failed to properly supervise more than $33 billion worth of UIT transactions, according to FINRA.