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

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

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 ...

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 ...

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 ...

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.

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

VeeMost Technologies is also pleased to provide an update on its corporate restructuring process with FINRA. The company has worked diligently to resolve legacy SEC reporting gaps dating back to 2006, ...