FINRA

In a decision that left out the details of alleged discrimination and tensions within the firm, a FINRA arbitration panel granted the broker's expungement request.

Even before the collapse of FTX, concerns about cryptocurrency and other risky investments were keeping regulators busy.

The giant wealth management firm allegedly made inaccurate representations to the regulator involving the call logs on two of its internal network drives.

A retired dentist won a huge FINRA arbitration award after accusing his best friend and longtime broker of trading in tech stocks without his consent.

Bradley Goodbred allegedly defrauded a widow in her 90s through a real estate investment scheme, the latest example of a rising number of scams targeting seniors.

FINRA accused FSC, Royal Alliance, SagePoint and Woodbury of "negligently omitting material facts" about an alternative asset manager, FINRA said.

For several years after the breakdown of a deal to sell a practice for $3.6 million, the parties have been accusing each other of violating the terms.

An attorney for Keith Todd Ashley said he plans to appeal his fraud conviction and plead not guilty to capital homicide.

The firm's latest supervisory case involving its oversight of former brokers comes as regulators and client attorneys have more tools under the 2-year-old rule.

Securian's alleged tactics with departing managing partners highlight a troubling trend among firms claiming to offer flexibility and freedom.