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

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

A broker who is already challenging the Financial Industry Regulatory Authority Inc.’s order last year to bar him from the ...

Every year, the Financial Industry Regulatory Authority (FINRA) issues an Annual Regulatory Report in an effort to provide ...

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, ...

Alpine Securities Corp. on Friday failed to pause a D.C. Circuit ruling maintaining a financial regulator’s power to hold ...

The industry's self-regulator fined James Iannazzo $50,000 and suspended him for two years for violating what one dissenting panel member said was a "catch-all" Finra rule.

according to the Financial Industry Regulatory Authority, violated a 2013 rule laying out permissible uses of borrowed securities. From January 2019 to June 2023, according to FINRA, Apex Clearing ...

This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of ...

The U.S. Financial Industry Regulatory Authority (FINRA) is sanctioning the clearing firm behind an earlier enforcement ...

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an ...