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

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 ...

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

Robinhood Markets (HOOD) stock dropped 13% in Monday morning trading as the retail trading app agreed to pay a $29.8M fine ...

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

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 ...

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 ...

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