The Justice Department disclosed a felony probe the day before the broker’s termination.

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

The broker misappropriated his clients’ investment money for rent, credit card bills and other personal uses, investigators say.

The regional BD failed to properly document its own investigations in the matter, and couldn't answer some SEC questions about who knew what and when, the regulator says.

The two IBDs have agreed to pay restitution in one of the largest securities fraud cases in the advisor’s home state.

The organization awarded millions to firm insiders that provided information in a 2016 case against BofA.

Seniors should consider designating joint agents, reviewing the security features on their financial accounts, and having their names removed from credit card solicitations.

The FBI has reportedly interviewed employees at the bank’s wealth management unit.

Investors were bilked out of approximately $611,000, say federal prosecutors.

Pinnacle Investments tapped Ami Forte despite her ongoing legal struggles with her former firm and Home Shopping Network founder Roy Speer’s estate.