TradeStation Securities agreed to an $85,000 penalty, according to the FINRA order. The firm agreed to FINRA’s findings in the matter without admission or denial, and a spokesperson for TradeStation ...

The Financial Industry Regulatory Authority has suspended an Oklahoma financial broker for allegedly impersonating 14 clients during phone calls with his previous brokerage firm. As part of a ...

The Financial Industry Regulatory Authority Inc.'s first enforcement action related to Regulation Best Interest involved a small fine – $5,000 – but demonstrated the broker standard of conduct is ...

Sept 5 (Reuters) - Both the U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority can rest a little easier after a federal judge in Philadelphia refused, opens new ...

A new Financial Industry Regulatory Authority (Finra) rule requires brokers to obtain firms' approval before they can serve as a client’s beneficiary, executor, power of attorney or trustee. Finra ...

Webull Corp (NASDAQ:BULL)is up 1.66% at $6.00, while eToro Group Ltd (NASDAQ:ETOR) is gaining 1.76% to trade at $39.88.

FINRA has charged First Southern LLC with violating MSRB, FINRA and SEC rules. When Kent Jackson Rhoades left Wells Fargo's branch office in Mountain Home, Arkansas, in October 2016, he took five of ...

Financial Industry Regulatory Authority, or FINRA, is a self-regulatory organization authorized to regulate U.S. stockbrokers and broker-dealer firms. Brokers must be registered with FINRA in order to ...

US securities industry regulator FINRA warned brokerage firms earlier this week of ongoing phishing attacks using a recently registered web domain spoofing a legitimate FINRA website. FINRA (Financial ...

You can find original article here WealthManagement. Subscribe to our free daily WealthManagement newsletters. The Financial Industry Regulatory Authority's annual industry snapshot provides a clear ...

Under a new FINRA proposal, brokers who have a side hustle selling antiques online would no longer risk fines and censures for not reporting the business to their firm. Processing Content That's just ...