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.

The regulator outlined the top priorities for 2018 examinations.

Caleb Fackrell repeatedly called his behavior “insane” in his testimony, according to transcripts obtained by Financial Planning.

To get in on hot IPOs, a client delivered cash payments to the broker at bars and restaurants, the regulator alleges.

Authorities say the now barred broker concealed his fraud through a variety of methods, including by creating falsified tax forms and lying to accountants.

Brash and bumbling? Or genuinely caring? Truth and fiction are blurred in depictions of planners in movies and TV shows.

It’s a common practice but a dangerous one.

The former broker met some of his roughly 60 victims through his associations with the NFL and the University of Virginia, where he also played football, federal prosecutors said.

Bradley Mascho helped Bennett defraud at least 46 investors, including many seniors, the regulator charges.

The rep used an unauthorized ATM card he secretly created to swipe $120 from a customer's bank account, FINRA claimed.

The wire fraud charge came nearly four years after the CFP Board revoked his certification.