Advisor advocates say they are beginning to look to civil courts and other FINRA alternatives to get erroneous customer ...

The Financial Industry Regulatory Authority is proposing to give brokers who left the industry more time to complete ...

An attorney for the advisors says the lawsuit is “an impermissible attempt to interfere in an ongoing Finra arbitration.” ...

The Financial Industry Regulatory Authority has censured and fined SoFi Securities $1.1 million for failing to establish and maintain a reasonable Customer Identification Program for SoFi Money, its ...

Julie Jason suggests an online resource that includes real-time data on bonds and other fixed income products.

The Financial Industry Regulatory Authority Inc. on Friday barred a former Wells Fargo Advisor broker who left the firm in ...

The brokerage regulator argued the firm’s automated process for approving options traders on its self-directed platform ...

The firm violated MSRB Rules G-15 on confirmation, G-8 on books and records and G-27 on supervision, FINRA found.

The self-regulator has stressed a shift away from mere compliance and toward active self-surveillance to uncover improper off ...

Online brokerage services provider TD Ameritrade agreed to pay a $600,000 fine for violations of Financial Industry ...

RBC Capital Markets agreed to pay nearly $769,000 to settle allegations levied by the Financial Industry Regulatory Authority ...

The Financial Industry Regulatory Authority has ordered RBC Capital Markets to pay more than $700,000 in fines and restitution for several alleged rules violations, including sending customers wrong ...