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Financial advisor Mark J. Dickman had filed his FINRA arbitration case against the firm and officials with Independent Advisor Alliance nearly four years ago.
July 24
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A staff member in the firm's fraud investigations group found reporting failures dating back to 2009.
July 12
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State regulators accused the wealth management giant of charging customers commissions of $75 or more for small equities transactions.
July 11
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In an 'infinitely rare' move, one member of FINRA's arbitration panel wrote a lengthy dissent noting the ex-employee's extensive training in anti-money laundering measures.
July 10
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The regulator's court victory wraps up years of litigation against a financial planner accused of defrauding at least nine clients of more than $1 million.
July 5
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The plaintiffs plan to argue the current system deprives them of their right to a jury trial in cases involving securities allegations.
July 3
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The principals at Legend Venture Partners stand accused of making millions by offering shares in pre-IPO companies without disclosing markups to investors.
June 29 -
More than 60% of registered investment advisory firms force complaints into forums that cost more and may give them fewer rights than FINRA, the regulator said.
June 29 -
In a cautionary tale, Jayne Di Vincenzo and Devin Garofalo have been fighting in FINRA arbitration and court for nearly three years after their M&A deal fell apart.
June 23
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The SEC accused the famed investment management firm of providing a faulty formula to a subadministrator responsible for calculating its fee waivers.
June 21
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The bank will pay $290 million over allegations that it didn't do enough to stop disgraced financier.
June 12
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The former relationship manager has pleaded not guilty to allegations he blew money from client accounts on bad stock bets.
June 9
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The former advisor faces as many as 10 years in prison for stealing roughly $1.7 million from relatives' brokerage accounts to pay for trips, cruises and other personal expenses.
June 8
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Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.
June 7 -
The SEC case is the latest to highlight the risks investors run when they get involved with "blank check" companies.
June 2 -
Long-time CEO maintains he never met or even knew of notorious sex offender.
June 1
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Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.
May 31
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Clients were offered a MasterCard made from 14-karat or 18-karat gold that could be embedded with as many as 164 precious stones.
May 30
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North Carolina stood accused of taking in $7.2 million from 13 victims over course of decade.
May 25 -
The case is the latest arbitration decision showing risks advisors run when they jump ship and think they can take investors with them.
May 23
