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 US Supreme Court justice refused to block the financial industry’s self-regulator from resuming disciplinary proceedings against a brokerage accused of misconduct in a case being closely watched by ...

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

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

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, ...

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

The largest arbitration award granted to retail clients is the third ruling against Stifel involving advisor Chuck Roberts. More cases are in the pipeline.

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

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

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

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

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