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.

The broker persuaded clients to write checks payable to him, the regulator claims.

The firm allegedly profited $14 million by fabricating performance records.

Aaron Parthemer misrepresented investments to his pro athlete clients, the regulator claims.

David Bahnsen told the president that that Milken’s prosecution was a result of “a period of class envy run amok.”

The one-time radio host allegedly spent client funds on a $1.45 million on a luxury suite at AT&T stadium, where the Dallas Cowboys play.

The RIA rep fabricated account statements and used forged letterheads as part of the deception, investigators say.

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.