FINRA

If successful, previously banned brokers might be free to "fleece your grandma" again, an expert warned.

A FINRA settlement accuses the firm of failing to supervise a broker who recommended frequent purchases and then resales of various investment products.

Lawyers note the kinds of grievances the firm allegedly withheld are what potential clients look at when choosing advisors.

Fines levied by the Wall Street regulator have dwindled in recent years.

The arbitration decision comes more than a year after SW Financial was expelled from the industry for violating Regulation Best Interest.

A FINRA study found nearly 400 firms, or 65% of the broker-dealers surveyed, have some hand in crypto assets and trading, as the once-novel asset class becomes normalized. But that still doesn't make it normal for regulators.

The first phase of FINRA's pilot program for continuing remote branch inspections drew the most interest from firms with 500 representatives or more.

Former President Trump is disavowing the conservative blueprint, which advocates for radical shifts in regulations and taxes that would reverberate in the industry.

The SEC, FINRA and other agencies have been closely watching social media posts related to financial advice. Consultants share how to attract young investors on social media without encountering regulatory pitfalls.

A broker argues the Supreme Court's recent decision in the Jarkesy case means he should get to defend himself against fraud allegations before a jury.