FINRA

Legal experts think these challenges to the agency's constitutionality, virtually unthinkable a decade ago, now have a chance of success.

A new report by the investor advocate bar finds most brokers seeking purges of past customer complaints go unchallenged by securities watchdogs and aggrieved clients.

The proposal comes amid the broker-dealer regulator's push for a pilot program to test out branch reviews done at a distance rather than in person.

Americans over age 60 reportedly lose $28.3 billion each year to fraud. The problem may be even worse than advisors thought, a new study says.

The changes come in response to questions that arose over the previous removal of a member from one of the regulator's three-person arbitration panels.

The regulator accused a broker-dealer of not having proper supervisory procedures to prevent $533,500 in excessive transactions.

A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.

The Wall Street regulator tweaked how it handles frequent inspections after the GAO uncovered shortcomings in its practices two years ago.

An Army financial counselor defrauded loved ones of fallen soldiers for millions of dollars while breaching the rules of his position, federal prosecutors say.

A staff member in the firm's fraud investigations group found reporting failures dating back to 2009.