The U.S. Supreme Court declined on Friday to halt a Financial Industry Regulatory Authority proceeding to expel one of its ...

One of the authors of Project 2025—the conservative manifesto viewed by many as the Trump’s administration's guide for aggressive deregulation—is standing by his call for the Financial Industry ...

A Utah-based securities broker-dealer will have to face an enforcement proceeding over its business practices from the ...

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 ...

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 ...

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 ...

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

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

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.