Lawyers for broker-dealer Alpine Securities Corp. took aim at the private enforcement powers of the Financial Industry ...

According to his BrokerCheck report, Roger A. Gallagher was charged last August with two felony counts and he pleaded not ...

The popular online broker-dealer has caught regulators' eyes over its moves into market news, trading in sports games and ...

Former Merrill Lynch broker James Iannazzo, who was fired in 2022 after his tirade at a smoothies shop in Connecticut went ...

Merrill, without admitting or denying Finra's allegations, last week agreed to a censure, to pay a fine of $275,000, and to certify within 180 days that the firm has taken appropriate remedial actions ...

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting ...

"The rebrand to Fifty 1 Labs, Inc. reflects our evolution and commitment to redefining sports performance, nutrition, and innovation," said Brandon Spikes, President of Fifty 1 Labs, Inc. "This ...

Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The report covers fixtures such as financial crimes prevention, ...

The US Securities and Exchange Commission (SEC) brought a number of significant enforcement proceedings against investment advisers and ...

The report reflects FINRA’s commitment to providing transparency to member firms and the investing public about its regulatory observations and activities. “This report is a valuable tool that ...

Douglas Jacoby joined Laidlaw & Company as general counsel, the firm announced Wednesday. He joins from the State of Missouri Securities Division, where he served as commissioner of securities and ...

MELBOURNE, Fla., Feb. 20, 2025 (GLOBE NEWSWIRE) -- InvestorsHub NewsWire -- Consumer Automotive Finance Inc. (OTC: CAFI) is pleased to announce that it has successfully responded to all final ...