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

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

The federal government shot back at a securities broker-dealer facing disciplinary proceedings by the Financial Industry ...

In an annual release, law firm Eversheds Sutherland finds the broker-dealer self-regulator's total number of enforcement actions increased last year, even as its fine haul fell.

As legal and political questions swirl, the brokerage industry self-regulator reasserts itself with “increased regulatory ...