Stifel blasts ‘unfair FINRA process,’ vows to fight record $133M award
Intense Life Desires Stifel plans to appeal a federal judge’s decision this week to uphold a record nearly...
FINRA
FINRA refunding $100M to member firms on March 31
FINRA will distribute $100 million in surplus regulatory fees to its member firms by the...
Dynasty accuses Merrill of ‘bad faith’ in fight over FINRA arbitration
Dynasty Financial Partners accused Merrill of acting in “bad faith” in a court filing Thursday...
FINRA seeks to lessen brokers’ oversight of RIAs
Thanks to a new FINRA rule, brokerages should soon be relieved of their current duty...
FINRA puts forward new anti-elder fraud proposal
FINRA has proposed rule changes aimed at combating investment scams — particularly against senior citizens...
FINRA study shows retail investor knowledge gaps
A brief surge in retail investors during the pandemic may be over, but wealth management...
FINRA finds appetite strong for online investing advice
George Cheng of Pillar Point Wealth Management says that some of his most productive financial...
FINRA calls attention to AI compliance risks
Brokerages should monitor not only their own use of AI, but also how third-party service...
FINRA investigates IPOs of small foreign firm
The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies...
Morgan Stanley wins deferred compensation cases with FINRA
Morgan Stanley has won another arbitration battle in a series of disputes in which it...