Jose Anibal Linares defrauded investors out of about $2 million, according to the Justice Department.

Last November, James Booth was sentenced to 42 months in prison for conducting a Ponzi-like scheme on investors and was ordered to pay nearly $5 million.

The regulatory agency claimed Scott Wayne Reed failed to get approval from Wells Fargo when soliciting clients to invest in a software company he himself was invested in.

The global coronavirus pandemic disrupted the financial advisory industry. Here’s what that means in 2021.

One of the greatest drivers of client experience is employee experience.

FINRA claims that James Alan Schumaker allowed his father to continue working with clients, even after he was barred from the industry.