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 ...

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

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, ...

A Financial Industry Regulatory Authority arbitration panel has ruled in favor of a Morgan Stanley client who accused the wirehouse of failing to safeguard her against fraudsters.

The clearing arm of Apex Fintech Solutions has agreed to pay more than $3 million to resolve FINRA allegations that it failed to ensure customers received fees it generated by lending out their ...

"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 ...

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

Under FINRA Rule 3310, firms must implement written AML programs that comply with the Bank Secrecy Act and its regulations. These programs should include independent compliance testing, ongoing ...

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 ...