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

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

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 ...

Due to its complexity, options trading is highly regulated, with rules on position limits, leverage, margin requirements, and reporting standards. FINRA enforces compliance on broker-dealers, ...

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.