Regulatory actions and programs

Tom Buck was once a top-ranked Barron's advisor at the wirehouse, where he worked for more than 30 years.

The advisor reportedly sold $48,500 worth of securities in a purported computer products wholesaler without disclosing the transactions to his then employer, J.P. Morgan Securities.

The rep used an unauthorized ATM card to withdraw $1,000 from a bank customer's account, FINRA claimed.

Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.

State administrators find reason for scrutiny in advisors’ increasing use of flat fees.

Advisors should address client issues in-house, which sometimes means taking a hard look at supervisory controls, regulators say.

Bernard Parker spent his client's money on his home, car and father-in-law’s bills, according to federal prosecutors.

The board metes out punishment against planners Jeffrey and Kimberly Camarda after they unsuccessfully sued the board.

Reps recommended complex investments without restrictions, the regulator said.

The regulator claimed he sold $2.63 million in equity-indexed annuities without disclosing the business to his employer, U.S. Bancorp Investments.