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

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

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

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, ...

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.

NEW YORK, NY / ACCESS Newswire / February 12, 2025 / Avanza Capital Holdings, a trailblazer in the alternative finance and ...

The tide is beginning to shift toward the wirehouse in its contentions that deferred pay is not protected by federal ...

Fraud and Chargeback Trends to Watch in 2025. As we navigate through 2025, the landscape of fraud and chargebacks continues ...

Marjorie Kessler, 76, claimed last year that Morgan Stanley violated two industry rules and “long-standing” industry ...

Singapore, Feb. 13, 2025 (GLOBE NEWSWIRE) -- Webuy Global Ltd. (NASDAQ: WBUY) (“Webuy” or the “Company”), a leading AI-driven e-commerce and travel platform, today provided an update regarding its ...

First Trust Specialty Finance and Financial Opportunities Fund (the "Fund") (NYSE: FGB) has declared the Fund's regularly scheduled quarterly distribution of $0.10 per share. The distribution will be ...