FINRA oversees and regulates 3,298 firms and 628,392 registered reps, or financial advisors. Although it is not a governmental agency, it operates under the aegis of the Securities and Exchange ...

A Utah-based securities broker-dealer will have to face an enforcement proceeding over its business practices from the ...

FINRA has ordered Robinhood (HOOD) Financial to pay $3.75M to its customers, and fined Robinhood Financial and Robinhood Securities $26M for violating numerous FINRA rules, including failing to ...

Chief Justice John Roberts denied Alpine's request to stop the FINRA proceeding, while the Supreme Court considers whether to hear the broker-dealer's appeal of a lower court ruling that allowed ...

Finra has yet to release its own annual report detailing disciplinary activity, but the Eversheds lawyers pulled data from past reports and Finra’s online database.

He pleaded not guilty to both. In the Finra order, Gallagher was barred from the securities industry after he refused to provide documents and information to Finra and to appear for on-the-record ...

Finra, Wall Street's self-regulator, found violations related to anti-money laundering programs, disclosures and clearing system supervision at Robinhood Securities and Robinhood Financial ...

MLB, Topps and Nike have partnered to recognize baseball's elite performers from last season with custom gold-embellished MLB logos on their jerseys that will then be used to create trading cards.

FINRA Approval Process Nearing Completion VeeMost Technologies is also pleased to provide an update on its corporate restructuring process with FINRA. The company has worked diligently to resolve ...

The probe by the Financial Industry Regulatory Authority is focusing on whether Calvin Lee Gray violated federal securities laws and FINRA rules. The investigation could lead to Gray being barred ...

The US Securities and Exchange Commission (SEC) brought a number of significant enforcement proceedings against investment advisers and broker-dealers in FY 2024 and during the first quarter of FY ...