Fidelity Employees Fired After Alleged Misuse of Reimbursement Programs

Watchdog's Hunt Is Short on 'Wolves'

How to Check on Your Broker

Wall Street's Watchdog Doesn't Disclose All Regulatory Red Flags

States Move to Share Data on Problem Brokers

Graphic: Where Troubled Stockbrokers Are

How the Journal Found Troubled-Broker Hot Spots

How Troubled Brokers Cluster, Often Among Elderly Investors

Stockbrokers who've been in trouble with regulators tend to cluster where the affluent and elderly are easily accessible.

Regulatory Breakdowns in Oversight of U.S. Stockbrokers

Data analysis reveals brokers with disciplinary problems still selling securities

Stockbroker Records to Receive More Scrutiny

Stockbrokers Who Fail Test Have Checkered Records

Regulator Deletes Red Flags From Brokers' Records, Says Study

Stockbrokers Fail to Disclose Red Flags

Finra Is Cracking Down on 'High-Risk' Brokers

Stockbroker Requests to Scrub Complaints Are Often Granted

Finra to Consider Requiring Brokerages to Carry Arbitration Insurance

More Than 5,000 Stockbrokers From Expelled Firms Still Selling Securities

More than 5,000 brokers were still licensed to sell securities after working for firms that regulators expelled.