FINRA fined a national brokerage $3.6M for Reg BI supervision failures on senior accounts, ordering $8.9M in restitution to approximately 2,400 affected investors.

The SEC charged a registered investment adviser with cherry-picking $4.7M in profitable IPO allocations, diverting gains to personal accounts while pushing losses to client portfolios.

I spent nearly two decades on Wall Street defending brokerage firms. Now I represent investors. The case I am reading today makes me furious. A ...