Enforcement staff are calling for sanctions over failures to supervise thousands of trades leading to $2.9 million in costs ...

Brokerage industry self-regulator Finra alleged that three Cetera broker-dealers missed red flags relating to large-scale ...

A broker-dealer owned by the precursor to Osaic Holdings, a giant network of B-Ds and registered investment advisors, ...

In 2007, the United States Securities and Exchange Commission approved the creation of the Financial Industry Regulatory Authority (FINRA), and the FINRA arbitration forum officially came into being.

The Merrill Lynch broker who was arrested and fired in January 2022 after hurling a smoothie at a fast-food employee is facing an unrelated disciplinary action brought by the Financial Industry ...

A broker with a record of dozens of customer complaints dating back to 2011 has been barred from the securities industry by the Financial Industry Regulatory Authority on charges that he caused an ...

The SEC has already lost a great deal of its authority to pursue fraud cases in in-house proceedings. Now it could be FINRA's turn. Processing Content A lawsuit filed on July 10 in federal court in ...

FINRA data suggest expungement requests to scrub customer complaints have fallen precipitously following the adoption of stricter rules last fall. For nearly half a year advisors have been living ...

A New York-based broker is suing FINRA over its demand for on-the-record testimony, claiming its calls amount to a subpoena without the benefits of the constitutional protections that come along with ...