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.

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

Content is provided for informational purposes only and is not investment advice. All investments involve risk, including the ...

Former Merrill Lynch broker James Iannazzo, who was fired in 2022 after his tirade at a smoothies shop in Connecticut went ...

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, ...

Our M1 Finance 2025 review delves into how this intuitive investing platform combines automated investing with personalized ...

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting ...

The SEC in October 2023 finalized rules to require certain institutional investment managers to report short sale-related ...