Jennifer Shaw, executive director of the Public Investors Advocate Bar Association, told lawmakers the system already produces uneven outcomes for investors. According to statistics cited in her ...

State regulators warn FINRA’s proposed Rule 3290 could leave gaps in oversight of brokers’ side businesses and private deals.

Investor advocates push sweeping reforms to arbitration and oversight as lawmakers question governance and executive pay.

Brokers and industry groups are greeting a FINRA proposal meant to relax advisors' obligation to report side hustles like weekend bartending gigs with a big "thanks but no thanks." Processing Content ...

NEWPORT BEACH, CA, UNITED STATES, March 5, 2026 /EINPresswire.com/ — Sequence Financial Specialists LLC dba InvestAmerica announces that its Managing Director, Vivek Tandon, Esq., has been named a Top ...

Brokerage firms that recommended investors buy Easterly RocMuni High Income Municipal Bond Fund may face regulatory action as fallout continues over the fund's sudden collapse last summer. Processing ...

On March 18, 2024, FINRA announced that it has fined a broker-dealer $850,000 in connection with the firm’s program to pay individuals with followings on social media sites (i.e., “influencers”) to ...

The Financial Industry Regulatory Authority Inc. is putting online more information about its disciplinary actions. The new Disciplinary Actions Online database, launched today, provides access to ...

FINRA has quietly and quickly won approval for a rule that lets brokers keep their private addresses off the online BrokerCheck database with a simple check of a box. Processing Content With the lapse ...