Compliance

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

The advisor allegedly tried to help keep a penny stock's price above $2 per share, amassing nearly 630,000 shares himself.

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.

How to stay out of trouble if a customer praises your investing prowess on your site.

Staying current with where the regulation stands can be hard. Here's what advisors need to know now.

SunTrust Investment Services collected more than $1.1 million in avoidable 12b-1 mutual fund fees from more than 4,500 accounts, the SEC charged.

“We’ve been very focused on opening every drawer and turning over every rock in the company,” CEO Tim Sloan said.

FINRA claimed the broker attempted to secure a buyer for 10 sellers of Iraqi dinar currency in anticipation of a finder's fee.

The impartial conduct standards have boosted clients’ chances, a longtime arbitrator says.

Chairman Jay Clayton and OCIE's director provided advisors with hints on the regulator’s methods.