FINRA

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.

An independent investigation found no evidence of a pact with Wells Fargo’s attorney but omitted mention of the other big questions emanating from the case.

As wealth managers brace for new enforcement cases under Reg BI, a case stemming from conduct four years ago may offer some clues about what’s to come.

A panel of FINRA arbitrators unanimously ordered the award against the megabank based on Erin Ann Daly’s claims of gender-based discrimination.

The regulator gave the firm credit for “extraordinary cooperation” despite alleging that its system failed for six years to the tune of more than $13 million.

Firms like Morgan Stanley, Goldman Sachs and Commonwealth have made changes under the rule, but the SEC is sending tough and vague messages.