The popular online broker-dealer has caught regulators' eyes over its moves into market news, trading in sports games and other events, and a new premium credit card.

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

The US Securities and Exchange Commission (SEC) brought a number of significant enforcement proceedings against investment advisers and ...

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

Lawyers for broker-dealer Alpine Securities Corp. took aim at the private enforcement powers of the Financial Industry Regulatory Authority in a new Supreme Court appeal that could spell trouble for ...

"Anna has demonstrated exceptional leadership, strategic vision, and a deep understanding of our clients' needs," said Joseph A. Alagna, Chairman & CEO of Joseph Gunnar & Co., and Co-Manager of ...

CRB Securities a broker-dealer and FINRA member, partners with Best Egg, Inc., a financial technology company that drives ...

"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 ...

Every year, the Financial Industry Regulatory Authority (FINRA) issues an Annual Regulatory Report in an effort to provide ...

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.