Regulatory actions and programs

The broker declined to appear for on-the-record testimony regarding expense reimbursements that SunTrust alleged were not valid expenses, according to FINRA.

In recruiting more women and minorities, the regulator aims to reshape its homogeneous roster of arbitrators.

The advisor allegedly tried to help keep a penny stock's price above $2 per share, amassing nearly 630,000 shares himself.

Moves by Nevada and others threaten to create compliance confusion.

The broker recommended that a recently retired couple invest $135,000 in a non-investment grade municipal bond intended only for sale to institutional buyers.

Staying current with where the regulation stands can be hard. Here's what advisors need to know now.

OCIE puts advisors on notice about widespread use of misleading claims and failures of disclosure.

SunTrust Investment Services collected more than $1.1 million in avoidable 12b-1 mutual fund fees from more than 4,500 accounts, the SEC charged.

FINRA claimed the broker attempted to secure a buyer for 10 sellers of Iraqi dinar currency in anticipation of a finder's fee.

The impartial conduct standards have boosted clients’ chances, a longtime arbitrator says.