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.

Content is provided for informational purposes only and is not investment advice. All investments involve risk, including the ...

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

The SEC in October 2023 finalized rules to require certain institutional investment managers to report short sale-related ...

Our M1 Finance 2025 review delves into how this intuitive investing platform combines automated investing with personalized ...

Last week, after 14 hearing sessions, Finra arbitrators Steven E. Eisenberg, Mark H. Schiff and Mark Sunshine found in Morgan Stanley's favor, ruling that Zapoleon was not entitled to recovery of his ...

Highlights,Broker-dealer trading ahead of clients violates NASD fair practice rules.,This unethical practice is also known as ...