The U.S. Supreme Court declined on Friday to halt a Financial Industry Regulatory Authority proceeding to expel one of its ...

One of the authors of Project 2025—the conservative manifesto viewed by many as the Trump’s administration's guide for aggressive deregulation—is standing by his call for the Financial Industry ...

A Finra arbitration panel has ordered Stifel Financial Corp. to pay about $132 million in damages for allegedly misleading ...

The current legal battle with a broker-dealer, Alpine Securities, is the latest challenge for the industry regulator.

Stifel Financial was ordered by a Financial Industry Regulatory Authority arbitration panel to pay a family $132.5 million ...

A three-person arbitration panel overseen by Finra Dispute Resolution Services stunned the financial advice industry on ...

Stifel pulls a $1.35 billion team from Raymond James, while LPL draws from Edward Jones and Wells Fargo, in advisor moves ...

The claim alleges that the firms failed to supervise their financial advisor, Ray Weldon, resulting in significant investment losses for the claimants. FINRA is the regulator that oversees brokers ...

WASHINGTON--(BUSINESS WIRE)--FINRA has ordered Robinhood Financial to pay $3.75 million to its customers, and fined Robinhood Financial and Robinhood Securities $26 million for violating numerous ...

Robinhood agrees to pay $29.75 million to settle FINRA probes over compliance failures while reporting record profits from ...

For the second time in about two weeks, a FINRA arbitration panel has cited state statutes to slap a wealth management firm ...

Robinhood shares slumped Monday morning as markets got their first chance to react to Friday's announcement that the online ...