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.

The firm previously accused its former employee of using company stationery to continue to pass herself off as an Ameriprise advisor.

A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.

Jurors in New York federal court awarded Jennifer Sharkey $563,000 in back pay and $563,000 for emotional damage.

Lies about being in contact with clients were the real reason the whisteblower was fired, according to a defendant and key witness for the bank.

Tom Buck was once a top-ranked Barron's advisor at the wirehouse, where he worked for more than 30 years.

A former vice president in the private wealth management group claims she was fired for investigating suspicions that a client might be involved in fraud or money laundering.

The rep used an unauthorized ATM card to withdraw $1,000 from a bank customer's account, FINRA claimed.

Bernard Parker spent his client's money on his home, car and father-in-law’s bills, according to federal prosecutors.

Offering a prepaid, monitored debit card gives True Link an edge in elderly retirement advice space.

Last year, the Democratic senator argued successfully for the termination of Sloan's predecessor as chief executive, John Stumpf.

What led Louis Martin Blazer III to cooperate with federal prosecutors?

Louis Martin Blazer is a "cooperating witness" in the federal case targeting corruption in college basketball.

Advisor Munish Sood is charged with fraud and bribery by FBI and U.S. Attorney.

The advisor targeted clients he obtained at Social Security seminars, according to prosecutors.

“We’ve been very focused on opening every drawer and turning over every rock in the company,” CEO Tim Sloan said.

The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.

The advisor was accused of stealing more than $1 million from his clients to pay for golf course fees, tanning salons and other personal expenses.

Attorneys are preparing written objections to the settlement, which they may file in the next 15 to 30 days.