Regulatory actions and programs

The advisor was accused of stealing more than $1 million from his clients to pay for golf course fees, tanning salons and other personal expenses.

Chairman Jay Clayton and OCIE's director provided advisors with hints on the regulator’s methods.

The defendants profited more than $3 million by trading before and after mergers and acquisitions were announced, according to U.S. prosecutors.

Attorneys are preparing written objections to the settlement, which they may file in the next 15 to 30 days.

The SEC's June 2016 settlement with Merrill Lynch was one of its biggest cases of the year by dollar amount.

The broker persuaded clients to write checks payable to him, the regulator claims.

The firm allegedly profited $14 million by fabricating performance records.

Aaron Parthemer misrepresented investments to his pro athlete clients, the regulator claims.

Experts say such cases are commonly filed by advisors yet difficult to win.

The broker used the customer's money to buy two apartments in his name, rather than the customer's.

The Office of Management and Budget concluded its review of the proposal, a key step in the administrative process, which puts a freeze on further implementing the regulation.

The one-time radio host allegedly spent client funds on a $1.45 million on a luxury suite at AT&T stadium, where the Dallas Cowboys play.

The door has closed for public comments on the board’s propositions. While some industry heavyweights commended them, critics call out contradictions.

Payouts from advisory firms have reached nearly $80 million as the regulator targets excess fees.

Regulations can take a long time to reverse.

The IBD aims to be a 17,000-strong firm, but not every advisor will want to join up, experts warn.

Let's have a robust discussion about how to improve outcomes for clients, but let's stop inventing bogus reasons why we shouldn't look after their best interests.

The rep ignored FINRA's repeated requests for documents it needed to investigate allegations that she made inaccurate statements on a mortgage gift letter.

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.

Shelley Steuer Freeman, the bank's former Los Angeles regional president and head of Consumer Credit Solutions, was barred for refusing to provide FINRA with documents it requested.