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

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

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

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, ...

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 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 ...

Detailed price information for Consumer Automotive Finance Inc (CAFI) from The Globe and Mail including charting and trades.

The Financial Industry Regulatory Authority (Finra) has released an extensive list of the ways registered representatives and their firms are violating Regulation Best Interest—the retail ...

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 ...