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.

Citing mounting investor losses from unpaid arbitration awards, investor advocates see a role for Congress to force FINRA's hand.

Religious groups threaten to withdraw shareholder proposal on the bank’s decision.

One recruiter says, "If I'm an advisor at Wells Fargo right now, I have to ask myself is this the firm I want to tie my future to?"

The beleaguered bank is reported to have been ordered by the Justice Department in late 2017 to conduct an independent investigation of the business.

The advisor lured the client into investing $100,000 in what he claimed was a private placement bond but instead deposited the money into his personal bank account, say federal prosecutors.

Spanning 50 federal districts, the case involves criminal and civil charges for as many as 200 defendants.

The advisor fleeced the duo of nearly $1 million by misappropriating their stock holdings and initiating unauthorized wire transfers from their bank account, prosecutors allege.

New FINRA rules will help the wealth management industry do its part to identify and prevent elder abuse.

A recent scam involved a fake signature from FINRA CEO Robert Cook.

The advisor tricked investors into thinking they would get their money back, with a return, in four to eight years, but they haven't seen a penny returned, the Massachusetts regulator claimed.

Thomas Buck spent 33 years with Merrill Lynch before he was fired in 2015.

The barred advisor and his brother defrauded a widow as part of a real estate investment scheme, according to federal prosecutors.

The stolen funds allegedly went to pay for college expenses and credit card bills, according to federal prosecutors.

The stolen funds went to pay for his daughter’s college expenses and to reimburse other clients, according to federal prosecutors.

Investigators say the broker spent his clients’ money on luxury cars and home improvements.