Financial crimes

He intercepted checks from her home when she wasn’t there and forged her signature to steal her money, investigators say.

A recent report provides insights into the regulator's concerns, that include cybersecurity, anti-money laundering and alternative investments.

The violations, which occurred from January 2009 through May 2017, affected approximately 95% of the firm's non-registered employees, according to FINRA.

The wire fraud charge came nearly four years after the CFP Board revoked his certification.

A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

Jurors in New York federal court awarded Jennifer Sharkey $563,000 in back pay and $563,000 for emotional damage.

Lies about being in contact with clients were the real reason the whisteblower was fired, according to a defendant and key witness for the bank.

Tom Buck was once a top-ranked Barron's advisor at the wirehouse, where he worked for more than 30 years.

A former vice president in the private wealth management group claims she was fired for investigating suspicions that a client might be involved in fraud or money laundering.