Patrick Donachie

A California federal court judge found Mark Boucher and his company Strategic Wealth Advisor Group Services liable for stealing for more than $2.2 million from clients.

The proposals would mandate that advisors craft written policies and procedures intended to address cyber risks that could harm clients, according to Chair Gary Gensler.

'The 2022 Report on FINRA’s Examination and Risk Monitoring Program' also looks at firms’ Form CRS compliance and approaches in working with clients via mobile apps.

James Iannazzo’s tirade in a Fairfield, Conn., smoothie shop was captured on video and viewed by millions. The CFP’s suspension comes after Iannazzo was arrested and charged by Fairfield police, and dropped by Merrill...

The SEC charged Michael M. Beck for recommending penny stocks to his millions of Twitter followers under the handle '@BigMoneyMike6,' while selling his shares once the prices climbed.

The Federation of Americans for Consumer Choice, a trade organization for insurance agents and agencies, argues that new interpretations in the rule have similar ramifications of the vacated Obama-era regulation.

The Superior Court in Fulton County, Ga., overturned a decision by FINRA after plaintiffs argued the firm’s counsel unfairly manipulated a list of arbitrators.

Presidents and CEOs at Lincoln Investment, Stifel and Raymond James discussed the regulatory regime in Washington and the impact of the COVID-19 Omicron variant during a discussion at FSI’s OneVoice conference.