According to his BrokerCheck report, Roger A. Gallagher was charged last August with two felony counts and he pleaded not ...

Lawyers for broker-dealer Alpine Securities Corp. took aim at the private enforcement powers of the Financial Industry ...

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

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.

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, ...

Since the term AI was first introduced in 1956, our reliance on artificial intelligence has grown immensely—much more than we ...

Wedbush, a Los Angeles-based financial services firm with global reach, and a legacy of innovation and client-focused investment solutions, introduces Wedbush Fund Advisers and announces its entry ...

Steps taken in just its first few weeks make clear that crypto now plays a central role in the new administration's regulatory priorities—a development that may fundamentally change its place in our ...