Compliance

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.

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 case marks the second one this month involving the newly acquired IBD.

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.