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 ...

Lawyers for broker-dealer Alpine Securities Corp. took aim at the private enforcement powers of the Financial Industry Regulatory Authority in a new Supreme Court appeal that could spell trouble for ...

FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight ...

FINRA claims, can exercise a primary supervisory role over their members under the Securities Exchange Act, subject to comprehensive commission oversight. The act requires anyone seeking to sell ...

examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public.

FINRA (the Financial Industry Regulatory Authority) oversees member broker-dealers who do business in the U.S. "Gen AI is making it easier for bad actors to fraudulently open new accounts using ...

Among other things, FINRA is focusing on services and recommendations by broker-dealers and their registered representatives to retirees, ...

SAN FRANCISCO, Feb. 19, 2025 (GLOBE NEWSWIRE) -- Aries Financial Inc. today announced that its wholly owned subsidiary, Ram Financial LLC, received its broker-dealer license from the Financial ...

examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public.

For more information, please visit our website. About tZERO Digital Asset Securities tZERO Digital Asset Securities, LLC is a broker-dealer registered with the SEC and a member of FINRA and SIPC. It ...