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 ...

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

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 ...

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 ...

WASHINGTON-- ( BUSINESS WIRE )--FINRA’s Board of Governors met on February 25-26. The agenda included electing a new Board ...

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 ...