Compliance

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.

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.

Attorneys are preparing written objections to the settlement, which they may file in the next 15 to 30 days.

The SEC's June 2016 settlement with Merrill Lynch was one of its biggest cases of the year by dollar amount.

Experts say such cases are commonly filed by advisors yet difficult to win.

The broker used the customer's money to buy two apartments in his name, rather than the customer's.

The number of annual new SEC registrations has jumped by 150% since 2000.

The case marks the firm’s second in a month, but its special investigations unit helped crack it.

The door has closed for public comments on the board’s propositions. While some industry heavyweights commended them, critics call out contradictions.