The commission claims Joshua Coleman raised more than $200 million in loans, opening multiple lines of credit and using clients’ funds without permission.

Mario Rivero pleaded guilty in New Jersey federal court to charges of wire fraud and securities fraud.

Raymond James systematically 'targeted all the employees' at a Wells Fargo office in Arkansas, according to an arbitration award from FINRA.

Two brokers with the firm Laidlaw & Co. were penalized for excessive trades that were unsuitable for clients.

The Volunteer State is the 31st to enact a regulation or law based on a model released by the National Association of Insurance Commissioners in 2020.

Former broker Anthony Liddle misrepresented the risk of GWG 'L' Bonds, a popular product sold by his broker/dealer, the subject of the SEC’s first Reg BI action. Then, Liddle pocketed clients' money.

The regulator cited the 'extraordinary cooperation' of Securities America, Royal Alliance and SagePoint as the reason for no penalties beyond restitution.

Individual penalties range from a few thousand dollars to more than $1 million.

After its SEC settlement, the securities firm points the finger at its own employees.

The CFP Board Center for Financial Planning will concentrate on pro bono and research work, while the CFP Board of Standards will focus on certifying advisors.