Barred broker Dain F. Stokes faces a criminal rap after raising hundreds of thousands of dollars for the phony philanthropic project, investigators say.

The FINRA arbitration decision omits any details or reasoning for the award in a case involving a broker’s email to his former colleagues.

Chris DiTata, vice president and general counsel of RIA in a Box, shares recommendations on how to make the process headache-free.

While many see a spot ETF as a way to solve problems such as contango and higher fees, there is skepticism that the SEC will approve one anytime soon.

With the barred former rep in the Dominican Republic, a court filing asks a state judge to toss a FINRA panel’s decision absolving the firm of responsibility.

Vania May Bell has admitted to helping her father run a scheme that started in the late 1990s and ended in 2018.

Once facing scrutiny for its relationship with a previous majority shareholder, the firm settled the regulator’s allegations about an issuer it called “Company A.”

David Hu apologized to the firm’s investors and clients, as well as his wife and two children, before being sentenced.

Even if they dislike digital assets, wealth planners have a fiduciary duty to understand their confusing and murky tax treatment.

UBS brokers rack up expungements of Puerto Rico complaints

Denise Badgerow won her long legal fight, while a Pennsylvania RIA and the Massachusetts securities regulator are currently weighing their options after decisions.

Financial advisor Jay Womack won a rare rebuke with a punitive payout after a messy split with his former business partner.

The regulator plans to focus on Reg BI, ESG criteria, private funds, cybersecurity and crypto assets in 2022, according to its closely watched report.

The firm that did business as Federal Employee Benefit Counselors allegedly made hundreds of fraudulent VA sales to federal employees.

The clearing brokerage and custodian to Naseem Salamah’s former RIA employer has provided restitution to the three “elderly” victims, records show.

A new potential fiduciary rule and a court decision involving independent contractors have the industry and consumer advocates watching carefully.

The guidance touches on the controversial policy debate about conflict-of-interest rules and what it means for brokers to act in the interest of their clients.

Alpine Securities will seek to overturn a FINRA finding that it saddled clients with “unreasonable” fees and converted accounts without authorization.

The unregistered financial advisor’s crimes became only the latest example of how securities cases can spill over into substance abuse and violence.

General Counsel Leo Rydzewski said more help is on the way as the organization bolsters its repository of tips and how tos.