A suspended broker has been charged with using his social media presence to raise $800,000 from 67 followers, only to spend most of it on personal expenses such as travel, dining and luxury goods, the ...

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

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

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

The client requested an investment with no principal risk but was told to purchase risky mortgage-backed-securities, the ...

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 ...

Rather than comply with an investigation, a former Merrill Lynch broker, an industry newcomer, allegedly stonewalled.

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 ...

Borrowing that happens in brokerage accounts, often used to buy more stocks, is at an all-time high as of July, and topped $1 trillion for the first time ever as of June, according to tracking by ...

For the first time in the study (which began in 2009 and is conducted every three years), the percentage of people who said they had no difficulty covering monthly expenses and bills declined, in this ...