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

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 ...

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

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 ...

She has a demonstrated history of working in both institutional and retail environments, from broker-dealers to RIAs. She is a current CFA level 3 candidate and also has her FINRA Series 7 and 63 ...

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.

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

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 ...