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

I hired a financial planner who recommended an annuity. The annuity yields me 5% per year on about $800,000 invested, with return of principal pay ...

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, ...

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

Advisors, learn how LPL Financial can help take your business to the next level.

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

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 ...

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

Brokerage firms that rely on third-party vendors for critical operations may want to reassess their policies for ensuring that those relationships aren’t at risk of compromising sensitive client ...