The bank disclosed earlier this month that it faces a U.S. inquiry into its purchase of low-income housing credits.

The advisor used about $410,000 to pay back investors in Ponzi-like fashion to keep the scheme alive, the regulator says.

The barred onetime Questar Capital and Woodbury Financial rep had pleaded guilty to the scam, which he says stemmed from a gambling addiction.

At least 17 individuals invested $13 million in the scheme, and many lost 'substantial portions' of their life savings, prosecutors say.

The funds allegedly paid for summer camp fees and a 1976 Corvette.

Collusion and corruption allegedly prevented Wells Fargo whistleblowers, and a former JPMorgan advisor, from obtaining justice.

The SEC claims Schwab failed to file reports on suspicious transactions by independent advisors.

Company policies were not reasonably designed to detect and prevent misconduct, the SEC claims after one advisor allegedly misappropriated more than $5 million from client accounts.

“Our whistle-blower program is a critical component in our investor-protection toolbox,” SEC Chairman Jay Clayton says.

Former San Diego Chargers guard Kris Dielman says the independent broker dealer failed to supervise his former advisor.

A FINRA arbitration claim followed an asset freeze and the launch of a federal investigation into the fired advisor’s RIA.

The banker was accused of directing a scheme that tacked hidden fees onto billions of dollars’ worth of trades by sovereign funds and other investors.

The lawsuit follows a complaint by the SEC alleging that five men and three companies defrauded more than 600 investors.

Advisors recommended that clients sell positions in complex structured products to rack up fees, says the regulator.

Prosecutors are presenting evidence of his training in securities markets to show that he'd likely know the information was purloined.

Some of the proceeds went to commission a song with the lyrics: “Pop champagne in L.A., New York to Florida; buy another bottle just to spray it all over ya,” says the SEC.

The regulator obtained an emergency asset freeze against the advisor.

The advisor told the client that she could pre-pay her advisory account fees at a discount by writing him a $7,400 check, FINRA claimed.

Other states are likely to enter similar agreements with the broker-dealer.

Cory Redding couldn't retire after the 2014 season and played another year to recoup some of his losses.