Regulation

Investor advocates think the money should instead go to clients who haven't been paid outstanding arbitration awards.

The Securities and Exchange Commission and the Commodity Futures Trading Commission issued an interpretation of how federal securities laws apply to crypto.

Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking about it all in a series of more than 60 questions about revamps to its arbitration procedures.

A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements and third-party ratings as scrutiny shifts to real-world practices.

Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's permission.

Dynasty accuses Merrill of acting in distorting the court record in its attempt to force a dispute over a giant breakaway team before FINRA arbitrators.

A FINRA arbitration panel ordered Eileen Cure to pay back recruiting-loan debt and more after she was let over a "no Blacks" order she sent to her staff.

The latest victory in court for Jayne W. Di Vincenzo over Devin J. Garofalo may have finally ended the saga.

In a sternly written footnote, federal Judge Steven Merryday said the SEC's refusal to release information on its penalty calculations appears to "countenance duplicity, gamesmanship, neglect, insouciance" or worse.