A Florida federal judge affirmed the massive arbitration penalty against Stifel over a former broker's unsuitable ...

Investor advocacy group PIABA argues surplus FINRA funds should cover unpaid arbitration awards owed to defrauded clients ...

FINRA enforcement actions spiked in the years after the 2008 credit crisis but have fallen steadily over the past decade.

North Investments Company today announced it has received membership approval from the Financial Industry Regulatory Authority (FINRA) to operate as a digital asset broker-dealer, becoming one of the ...

FINRA has adopted a limited, temporary exception to its equity trade reporting rules for qualifying overnight transactions ...

The Public Investors Advocate Bar Association (PIABA) today slammed the recent decision by the Financial Industry Regulatory Authority (Finra) to approve a $50 million rebate to its member firms ...

The professional bar association for investor attorneys is accusing the Financial Industry Regulatory Authority (Finra) of increasing professional requirements for arbitrators without public notice or ...

Investor advocates think the money should instead go to clients who haven't been paid outstanding arbitration awards.

In the enforcement action, FINRA imposed an $850,000 fine on a financial services firm, alleging that social media posts made by influencers on the firm’s behalf contained exaggerated, unwarranted, ...

In a recent enforcement action in February, FINRA imposed a $75,000 fine on a brokerage firm, alleging that it failed to adequately supervise employees’ use of personal email for business-related ...