FINRA

Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.

There are good reasons to worry that brokers are unfairly maligned.

FINRA says the firm did not disclose necessary client issues or hacking attempts.

Researchers from top business schools studied arbitrator selection, as shown in nearly 9,000 cases filed by clients over a 27-year span.

For advisors that make a claim of misconduct the deck appears stacked in favor of the employers.

When two agencies are probing your firm, it doesn’t hurt to ask that they coordinate their efforts.

While it may be unnerving, a notice of an examination doesn’t necessarily mean defeat.

A petition to vacate the award was denied by a federal judge.

When legacy tools only address known risks, firms may be overdue for an upgrade.

Can FINRA suspend the advisor’s license?