According to his BrokerCheck report, Roger A. Gallagher was charged last August with two felony counts and he pleaded not ...

"The rebrand to Fifty 1 Labs, Inc. reflects our evolution and commitment to redefining sports performance, nutrition, and innovation," said Brandon Spikes, President of Fifty 1 Labs, Inc. "This ...

Former Merrill Lynch broker James Iannazzo, who was fired in 2022 after his tirade at a smoothies shop in Connecticut went ...

A Financial Industry Regulatory Authority arbitration panel has ruled in favor of a Morgan Stanley client who accused the wirehouse of failing to safeguard her against fraudsters.

Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The report covers fixtures such as financial crimes prevention, ...

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting ...

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an 84-year-old widow from stealing his mother's life savings.

Alpine Securities Corp. on Friday failed to pause a D.C. Circuit ruling maintaining a financial regulator’s power to hold ...

FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight ...

She is a current CFA level 3 candidate and also has her FINRA Series 7 and 63 licenses. Throughout her career, Samantha has used her expertise and various licenses and certifications to provide ...