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 ...

One of the authors of Project 2025—the conservative manifesto viewed by many as the Trump’s administration's guide for aggressive deregulation—is standing by his call for the Financial Industry ...

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 17, 2025 / Levi & Korsinsky notifies investors that it has commenced an investigation of Robinhood ...

In affirming the trial court, the Court of Appeal noted that as a general matter there is no duty to protect others from the conduct of others. More specifically, it could find "no statutory or case ...

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

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

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 ...

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

Robinhood shares slumped Monday morning as markets got their first chance to react to Friday's announcement that the online ...