FINRA rules for greater scrutiny of brokers with misconduct records may have simply nudged those individuals into insurance registrations with more lax supervision, a new study found. Processing ...

In 2007, the United States Securities and Exchange Commission approved the creation of the Financial Industry Regulatory Authority (FINRA), and the FINRA arbitration forum officially came into being.

The industry regulator has sanctioned three broker-dealers in the Cetera network for weak controls around low-priced securities and customer reporting.

We analyzed everything from advisor credentials to fees to portfolio options at some of the larger and more well-known registered investment advisor firms to help you select a firm that could best con ...

A Finra panel has awarded two clients of A.G. Morgan Financial Advisors more than $2.5 million based on allegations that the firm's two advisors were negligent and breached their fiduciary duty when ...

The professional bar association for investor attorneys is accusing the Financial Industry Regulatory Authority (Finra) of increasing professional requirements for arbitrators without public notice or ...

A three-person FINRA arbitration panel awarded $1.1 million, including back pay, to a former J.P. Morgan Securities financial advisor who claimed in the dispute the firm was in breach of contract. The ...