John Gregory Schmidt allegedly devised a 14-year scheme that straddled his time with Stifel and Wells Fargo.

One high-net-worth client with more than $20 million in assets took the majority of the losses, the regulator says.

The advisor allegedly sold $13 million worth of high-risk securities without disclosing that she earned commissions of up to 18%.

Joel N. Burstein allegedly helped his father-in-law defraud foreign investors hoping to immigrate to the U.S.

Investment firm blamed fat finger error for 90% decline when losses were really due to poor trading.

The Biltmore Capital fund was dissolved at an almost total loss, but not before Caleb Overton raised $2.2 million from 10 investors.

State Treasurer John Chiang says that Wells Fargo is keeping patterns of abuse hidden from view by resolving customer disputes through private arbitration.

Five fired and barred former registered reps stole more than $1 million from clients over a four-year period, according to the regulator.

The bank continues to battle a series of negative headlines such as erroneous foreclosures, but public and investor reaction has been muted.

The bank recently disclosed in an Aug. 3 filing that it faces a U.S. inquiry into its purchase of low-income housing credits.