Regulatory actions and programs

The violations, which occurred from January 2009 through May 2017, affected approximately 95% of the firm's non-registered employees, according to FINRA.

The rep used an unauthorized ATM card he secretly created to swipe $120 from a customer's bank account, FINRA claimed.

The former United Planners' advisor conducted the sales without his firm's permission over nearly a decade, according to the regulator.

Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.

The board will release new proposed revisions and seeks additional public comments.

A group of attorneys raises concerns about extensive industry ties among FINRA’s public board members.

The SEC sought $3.4 billion in sanctions, the lowest total since 2013, according to data collected by a law professor at Georgetown University.

The rep neglected to tell Wells Fargo that a 97-year-old client had named him as beneficiary and co-executor of her estate.

The regulator was looking into customer complaints and arbitration claims that rep engaged in unsuitable trading.

The senior's investments were overly concentrated with as much as 95% of her portfolio invested at times in oil and gas master limited partnerships.

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.