Laura Sullivan stands accused of accessing confidential customer data and violating a nonsolicitation agreement by bringing along at least 15 client households.

Retired investor Tracy Driver alleges he was encouraged to put millions into a now delisted media company and then lost more through unauthorized sales of "prized" shares in Nvidia, Microsoft and Alphabet.

Randy Anderson worked as a broker for nearly 25 years without a complaint before being accused of making unauthorized trades by a client who, his lawyer says, actually ended up saving money.

Investor advocates and others worry that recent changes to who can serve on FINRA panels will exclude arbitrators most likely to be sympathetic to ordinary investors.

Senate Republican Leader John Thune has been a vocal critic of the 40% estate tax paid by the wealthiest U.S. individuals when they die.

Experts say that there are pitfalls, rules and procedures that departing financial advisors should know. Problem is, too many act first and consult lawyers later.

One sector that the bill is particularly positive for is real estate, experts say.

The decision comes as a victory for FINRA in a series of legal assaults meant to undercut the authority of self-regulatory organizations.

The dome of the U.S. Capitol Building in Washington, D.C., is reflected upside down in a puddle outside of the structure

The Trump administration is changing many prior policies, but supporters of this proposal are calling for further action to protect the complex tax savings maneuver.