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Management at brokerage caught unaware by ongoing probe.

LPL beefing up its compliance in wake of Massachusetts suit; B-D cracking down on sale of leveraged ETFs; suitability at issue.

Unsuitable trading, fraudulent auto-loan scheme alleged by former client.

A Southern California insurance broker who overcharged Tom Hanks and his wife, Rita Wilson, hundreds of thousands of dollars has been sentenced to more than two years in federal prison.

Donnan and partner convinced coaches, ex-players to invest in merchandise scheme, commission claims; worked as college football analyst for ESPN.

The Foundation for New Era Philanthropy was the biggest financial scandal in the history of American charities.

Wedbush Securities and one of its former brokers to pay $2.9 million in damages and fees to an elderly investor who allegedly fell victim to a faulty investment scheme.

When a judge ordered former NAPFA Chairman Mark Spangler taken directly into custody Thursday, the once-prominent investment advisor looked stunned, says one of the U.S. prosecutors on the case.

Bernie Madoff continues to insist that big banks and feeder funds knew his investment was a Ponzi scheme, and urges U.S attorney to investigate them.

Brookstone socked by Finra for sale of CMOs to the elderly; brokerage to appeal nonfinal decision.