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.

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 ...

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

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

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

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.

"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 ...

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

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, ...

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

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 ...