FINRA

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.

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.

More financial advisors are accusing independent wealth managers of acting like wirehouses and other employee brokerages upon their departures.

With recent cases as teachable moments on what not to do, two of the top cops on the wealth management beat offer lessons to the industry.

Alternative investments such as leveraged or inverse ETFs, complex exchange-traded products and options remain areas of concern to the regulator.

Market volatility and the Fed's interest rate increases aren't likely to reverse the trend.

While the regulator claims stricter access and education requirements may protect retail investors, it’s argued that financial advisors can do a better job.

In a panel held by NASAA, experts from giant wealth managers explained how reps and their teams often serve as the first line of defense.

A 38-year veteran financial advisor won a significant award in FINRA arbitration after a brokerage claimed he made unauthorized trades.

Critics of FINRA’s current system for removing client complaints from brokers’ records are seeking to vacate an arbitration award.