FINRA

IFS Securities once had about 150 financial advisors and 20,000 clients. Now it's seeking millions it owes third-party firms three years after it shut down.

The firm terminated the longtime financial advisor. But experts say that isn't always a best practice, and many female professionals continue to report abuses.

Alpine Securities has added to its long docket of run-ins with regulators over the last several years, alleging the SEC is piling on.

Reformers and supporters of the existing system are already lining up on either side of the fight as the regulator follows up on its pledges to pursue changes.

A Georgia appeals court threw out a bombshell ruling against Wells Fargo that said the Wall Street bank "committed fraud" with an arbitration panel.

A Mexican-American couple who sought safety and diversification north of the border say they found fraud, negligent supervision and concealment.

When an elderly person is scammed, a new study shows, many Americans blame the victim. Advisors can help break that habit.

Traders are splurging on “complex” ETFs to ride out the crushing bear market across assets.

The case offers the latest confusing signal about an industry that forces discrimination cases into arbitration and fights them to the bitter end.

Wall Street’s regulator is following the recommendations of a little-noticed government watchdog report last year. But it refuses to share the full findings.