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

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, ...

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

The widow claims Morgan Stanley should have done more to slow or block her withdrawal of more than $2 million from the firm.

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

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

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.

In its other new section, FINRA reminds firms that offer extended hours trading that they must comply with FINRA Rule 2265, which requires that these firms provide their customers with a risk ...

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