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

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

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

The current legal battle with a broker-dealer, Alpine Securities, is the latest challenge for the industry regulator.

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 ...

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

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 ...

In an annual release, law firm Eversheds Sutherland finds the broker-dealer self-regulator's total number of enforcement actions increased last year, even as its fine haul fell.

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

Robinhood shares slumped Monday morning as markets got their first chance to react to Friday's announcement that the online ...