Financial crimes

North Carolina stood accused of taking in $7.2 million from 13 victims over course of decade.

For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.

Joseph DeGregorio promised a 13% return on promissory notes that never existed.

The financial services firm continues to go before FINRA arbitration panels to defend itself against claims over ex-broker's actions.

The top Massachusetts securities regulator contends a broker's misdeeds could have been prevented if internal compliance officers had only tried.

His lawsuit is the first to follow the U.S. Supreme Court's decision in another case questioning the regulator's "at-home" advantage with internal proceedings.

The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.

The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.

The SEC and DOJ accused a New Jersey-based broker of using insider knowledge to make more than $3.4 million from a scheme involving special purpose acquisition companies.

The service's Criminal Investigation unit investigated 975 tax and money laundering cases related to COVID-19 with fraud totaling $3.2 billion.