Noticing problems with customers meeting the electronic records retention demands of FINRA rule 17a-4, AdvisorVault became a ...

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

Singapore, Feb. 13, 2025 (GLOBE NEWSWIRE) -- Webuy Global Ltd. (NASDAQ: WBUY) (“Webuy” or the “Company”), a leading AI-driven e-commerce and travel platform, today provided an update regarding its ...

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, ...

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

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

A broker who is already challenging the Financial Industry Regulatory Authority Inc.’s order last year to bar him from the ...

Thrivent Financial for Lutherans and an affiliated investment adviser are asking a federal appeals court to review the SEC’s ...

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

Alpine Securities Corp.'s recent reprieve from securities industry expulsion without SEC review still leaves it with an ...

This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of customers’ fully paid or excess margin securities.

The U.S. Financial Industry Regulatory Authority (FINRA) is sanctioning the clearing firm behind an earlier enforcement action against brokerage firms that didn’t adequately protect investors in their ...