FINRA

FINRA's annual snapshot shows how the wealth industry is changing, from key business metrics and marketing trends to shifts in registration and a shrinking branch footprint.

Brooke Pilant, who was at Ameriprise from 2017 to 2024, accused the firm of turning against her after she raised concerns about "unethical practices."

JPMorgan wants a judge to overturn the FINRA arbitration award it was hit with after firing one of its brokers over expenses stemming from a Super Bowl-timed client meeting.

Nearly two years into a pilot program designed to test remote inspections of brokers' residential and other remote offices, FINRA feels comfortable enough with the results to push for a permanent policy.

The SEC is now focused on "quality of cases versus quantity," the SEC chairman said during a discussion held as part of the 2026 FINRA Annual Conference.

A series of settlements and arbitration awards since late 2022 require Stifel to pay hundreds of millions over recommendations made by its former broker Chuck Roberts.

A lawyer representing a former UBS investor said he proved to FINRA arbitrators that his client would have been much better off simply putting her money into the stock market.

Thirty advisors recruited by LPL Financial from Ameriprise had objected to a court order that they turn over their cell phones, computers and other devices to be searched by a third-party forensic examiner.

As judges have shown in other recent cases involving UBS and Stifel, firms have a high bar to clear if they want an arbitration award vacated.

A federal judge finds that the embattled brokerage Alpine Securities' argument that FINRA should answer to the federal executive branch amounts to " wishful thinking" that "collapses under the weight of spiraling aspiration."

FINRA and consumer advocates are raising alarms about online scams that are driving fraud losses into the hundreds of billions of dollars.

The investment recommendations from a now-barred broker may ultimately cost the St. Louis-based firm more than $200 million in various penalties and awards.

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

Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking about it all in a series of more than 60 questions about revamps to its arbitration procedures.

Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's permission.

Dynasty accuses Merrill of acting in distorting the court record in its attempt to force a dispute over a giant breakaway team before FINRA arbitrators.

A FINRA arbitration panel ordered Eileen Cure to pay back recruiting-loan debt and more after she was let over a "no Blacks" order she sent to her staff.

The latest victory in court for Jayne W. Di Vincenzo over Devin J. Garofalo may have finally ended the saga.

Mario Payne — an independent advisor who had used Charles Schwab and TD Ameritrade for custodial services — lands both firms in hot water over his recommendations of risky investment products.

Lawyers note that Ameriprise, despite its win, got relatively little of what it wanted and question whether the fight was worthwhile.