The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.

The action comes as the SEC plans heightened scrutiny of advisor disclosures and activity, and serves as a reminder to stay on top of the basics.

A 20-year veteran advisor sold more than $7 million worth of investments pitched by an accused fraudster connected to his friend from Bible study, the regulator said.

The firm blamed a coding error from a trading software it upgraded at the time. FINRA took nearly eight years to discipline Goldman for the problem, which allegedly began in 2015.

The last-minute changes would loosen inspection requirements but add limits to the type of business brokers can do from home.

The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.

Wealth managers are increasingly pledging to address diversity, equity and inclusion in their businesses.

The SEC and DOJ accused a New Jersey-based broker of using insider knowledge to make more than $3.4 million from a scheme involving special purpose acquisition companies.

Switzerland's top prosecutor opened a probe to gather information into potential crimes that may have taken place around UBS's emergency takeover of Credit Suisse.

The case shines light on the risks of betting against a company's stock when merger or privatization deals are afoot.

A Hornor, Townsend & Kent broker pitched "Future Income Payments" that turned out to be part of a $300 million scheme targeting veterans, investigators said.

Compliance experts say financial advisors who boast publicly about their investment prowess should make sure they have support for their claims.

The independent firm told financial advisors that selling their own practices without a greenlight from the corporate office could draw FINRA scrutiny.

The stolen funds were allegedly spent on personal expenses including a swimming pool, crypto, luxury cars, a piano and a romantic relationship.

The case comes as employment suits related to mental health disabilities are expected to increase coming out of the pandemic.

The SEC's case against a barred former broker shows why regulators and the industry often struggle to catch repeat offenders before they harm investors again.

The service's Criminal Investigation unit investigated 975 tax and money laundering cases related to COVID-19 with fraud totaling $3.2 billion.

Cetera director of regulatory affairs sees Reg BI as a key way to preserve investor choices.

A 22-year veteran broker is headed to prison for "intentionally preying" on seniors and families of children with special needs, the district attorney says.

In an unusual case, regulators have accused a Boston investment advisor of violating his fiduciary duty by putting his clients into high-fee retirement products.