Alabama-based Frazer Lanier failed to detect a $500 political contribution by one of the firm's muni finance professionals ...

The Financial Industry Regulatory Authority has fined Fidelity Investments $600,000 for failing to supervise over an ...

The core of the problem stemmed from UBS FSI's use of its Trade Allocation and Processing System (TAPS). The system handled ...

To achieve success on the FINRA exam, it is essential to dedicate the necessary time and effort to studying intelligently and ...

A three-person Finra Dispute Resolution Services panel the day after Christmas awarded a Wells Fargo Advisors client $3.4 ...

An ex– Morgan Stanley financial advisor has been barred from the industry for failing to cooperate with a regulatory investigation of the circumstances surrounding his departure from the wirehouse.

Both sides, the firms as well as the regulators, want to clean up their books going into the new year,” one executive said.

Over 2 million Social Security beneficiaries had their retirement incomes reduced because of two programs. Here's how the ...

Investor Relations [email protected] Media Relations [email protected] LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms ...

While the system monitored equity trades, it did not cover these specific products. As a result, more than 20,000 customer accounts circumvented full cash payments, engaging in trades without ...