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

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

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

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, ...

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

Report Highlights Third-Party Risk Landscape and Other New Topics; Includes Observations About Cybersecurity, Artificial Intelligence, Investment Fraud and Others WASHINGTON--(BUSINESS WIRE ...

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

In addition, Apex also violated FINRA Rules 2210 (Communications with the Public), 3110 (Supervision) and 2010 (Standards of Commercial Honor and Principles of Trade). From March 2021 through ...

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

‘She has one thing left, a pension, that will allow us to put her into an assisted-living home.’ ...

Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack up more than two dozen customer complaints that were eventually settled for ...

Everyone's retirement situation differs and there's no paint-by-numbers guide to pulling money in a foolproof sequence.