Enforcement actions

Massachusetts regulators accuse the firm of running afoul of the impartial conduct standard by holding sales contests.

The regulator outlined the top priorities for 2018 examinations.

The regulator charged the firm and its owner with fraud in a case centered on commissions and 12b-1 fees.

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

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

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

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

Payouts from advisory firms have reached nearly $80 million as the regulator targets excess fees.

The IBD aims to be a 17,000-strong firm, but not every advisor will want to join up, experts warn.

He concealed 300 transactions over two years while raking in millions of dollars, investigators say.

The investor received 15 months in prison after pleading guilty to wire fraud.

Three firms have fired the broker, whose former clients have won $494,000 in settlements.

The SEC is investigating the bank for selling clients mutual funds that charge marketing fees when other, cheaper funds were available. SunTrust expects an enforcement action.

The wirehouse agrees to pay a $2.8 million fine after the regulator discovers the bad reporting went on for years.