The court said the in-house SEC judge who handled Raymond Lucia’s case was a constitutional "officer," meaning he should have been directly appointed by the SEC.

The firm agreed to settle and admitted wrongdoing, according to the regulator.

Prosecutors are presenting evidence of his training in securities markets to show that he'd likely know the information was purloined.

Some of the proceeds went to commission a song with the lyrics: “Pop champagne in L.A., New York to Florida; buy another bottle just to spray it all over ya,” says the SEC.

The client, who was the co-founder of the HSN, suffered from dementia and was declared legally incompetent, according to a FINRA letter of acceptance, waiver and consent.

Disparate voices in the fiduciary debate agree that Form CRS might be too dense and complex to achieve meaningful disclosure.

One option for the higher earning spouse is to use an IRA as payment.

Many U.S. expats don’t feel they should have to pay U.S. taxes while living abroad — but do they know where it’s not required?

Fiduciary advocates lament the absence of the term from the SEC's rule, which they say fails to move beyond FINRA’s existing suitability standard, while the brokerage sector sees the proposal as a welcome jump in oversight.

FINRA plans to unveil a new user interface for its central registration depository system on June 30.

The move is an early indication of how firms may react to the demise of the Labor Department regulation.

The regulator obtained an emergency asset freeze against the advisor.

The regulation was dealt a fatal blow when a federal appeals court hearing a challenge to the rule by business groups vacated it in a split decision.

The advisor told the client that she could pre-pay her advisory account fees at a discount by writing him a $7,400 check, FINRA claimed.

The wirehouse's traders and salespersons misled and overcharged clients with regard to the securities, the regulator charges.

Other states are likely to enter similar agreements with the broker-dealer.

Keeping brokers and advisors on a separate regulatory track could preserve the “competitive advantage” that RIAs enjoy, says Schwab exec.

While a search is underway to replace Howard Plotkin, his duties are being handled by global Chief Compliance Officer David Lang.

Cory Redding couldn't retire after the 2014 season and played another year to recoup some of his losses.

One of the arbitrators on the three-member panel should have been disqualified, according to the petition.