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 ...

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

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

NEW YORK, NY / ACCESS Newswire / March 16, 2025 / Levi & Korsinsky notifies investors that it has commenced an investigation of Robinhood ...

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

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

Robinhood agrees to pay $29.75 million to settle FINRA probes over compliance failures while reporting record profits from ...

However, fines shrank to $59 million, down 35% from the $89 million in 2023. The drop largely stems from a lack of blockbuster penalties, such as the $24 million fine levied against Bank of America ...

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

Stifel pulls a $1.35 billion team from Raymond James, while LPL draws from Edward Jones and Wells Fargo, in advisor moves ...

Chief Justice John Roberts denied Alpine's request to stop the FINRA proceeding, while the Supreme Court considers whether to hear the broker-dealer's appeal of a lower court ruling that allowed ...