FINRA announced today the results of its election of two new members to its Board of Governors during the annual meeting of ...

Most firms place a limit on advisors’ sales of alternative investments to clients in the neighborhood of 10% a customer’s net ...

The Financial Industry Regulatory Authority is repaying millions from enforcement actions to investors harmed by broker ...

When regulators began looking into allegations that a former Merrill Lynch broker had engaged in unauthorized trading in clients’ accounts and other misconduct, the response was prompt and ...

Wells Fargo Clearing Services has agreed to pay $137,500 to settle a Financial Industry Regulatory Authority allegation that ...

Linqto Inc. was one of the first tech platforms to promise access to small investors into the high-risk, high-reward world of ...

The final version of the 2024 National Financial Capability Study was recently released by FINRA’s Investor Education ...

He called Finra’s decision a "monumental slap in the face" to investors and to PIABA. The Government Accountability Office first flagged the issue of unpaid arbitration awards back in 2000.

A FINRA-suspended broker known as “K Money” was arrested and faces charges of defrauding social media followers of more than $800,000. According to the Justice Department, Kenneth Thom was charged ...

The Financial Industry Regulatory Authority is asking for voluntary buyouts from employees, for the third time in the last five years.

In the first disclosure of its kind, Finra said that it collected $64.9 million in fines in 2017 and spent $49.9 million on regulatory projects such as technology and compliance oversight of ...