Stifel Financial was ordered by a Financial Industry Regulatory Authority arbitration panel to pay a family $132.5 million ...

A three-person arbitration panel overseen by Finra Dispute Resolution Services stunned the financial advice industry on ...

For the second time in about two weeks, a FINRA arbitration panel has cited state statutes to slap a wealth management firm ...

As legal and political questions swirl, the brokerage industry self-regulator reasserts itself with “increased regulatory ...

The $59 million in assessed penalties was down 35% from 2023, according to an analysis by Eversheds Sutherland.

A Finra arbitration panel has ordered Stifel Financial Corp. to pay about $132 million in damages for allegedly misleading ...

Preparing for FINRA exams can feel like a monumental effort. The material is dense, the expectations are high, and the clock ...

“In the absence of abolishing Finra, Project 2025 makes numerous proposals about how Finra should be changed, such as making ...

However, fines shrank to $59 million, down 35% from the $89 million in 2023. The drop largely stems from a lack of blockbuster penalties, such as the $24 million fine levied against Bank of America ...

The regulator said Robinhood had violated “numerous” rules, including failing to respond to red flags for potential ...

Robinhood agrees to pay $29.75 million to settle FINRA probes over compliance failures while reporting record profits from ...