Compliance

The two declined to cooperate with investigations into allegations that they engaged in undisclosed outside business ventures.

The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.

The firm’s former COO is accused of destroying a copy of the culture report.

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.

Brokerages have broken ranks in recent weeks over whether to facilitate clients’ bets on bitcoin amid widespread concern that it’s a bubble or that the cryptocurrency’s price is potentially susceptible to manipulation.

Special interest groups may weaken the Department of Labor’s best interest standard. Here’s why that’s bad for financial planners and their clients, according to one expert.

Deals have heated up. Can the rapid pace continue?

How advisors deal with grievances and arbitration can make or break a career.

The firm displayed inaccurate ratings for more than 1,800 equity securities to its brokers, supervisors and retail customers, FINRA alleged.

Products that best fit clients would have to be offered before those that are most profitable to the sellers, the New York Department of Financial Services said.

The rep used his own money to pay the customer the interest she expected on a brokered certificate of deposit.