The FBI arrested Matthew M. Piercey on fraud and other charges after he tried to elude authorities by diving underwater using a submersible device
Christopher W. Burns became more 'brazen' in the days before his disappearance, according to the SEC
Dean Vagnozzi primed the airwaves with advertisements. Now his clients are seeking damages
Utah-based Alpine Securities claims Finra violated "due process" in hearings
The firm failed to flag excessive trading in four client accounts, according to Finra
Giant firms are looking for an avenue to serve younger clients
The numbers are way up, even as firms struggle amid the COVID-19 pandemic
Paramveer Singh, a former tech stock analyst, spent $21,000 at the club, Finra alleges
If Democrats prevail, regulators may upset the new Reg BI standard, leading to big changes in fee structures — or they may just leave it alone
LPL, a recruiting powerhouse, reported a year-over-year gain of 819 financial advisers at the end of September
