Finra

In the interim, attorneys like Ms. Evans should ask themselves whether their stunning success is attributable to their legal skill or the lack of impartiality of FINRA arbitration panels.

A U.S. regulator ordered JPMorgan Chase & Co to pay $3.62 million in fines and reimbursement for recommending investments linked to junk bonds to ...

Congress may outsource the job of regulating thousands of investment advisors to an organization funded by the professionals it regulates, Bloomberg N...

http://www.youtube.com/watch?v=_PwP1EjaBik The financial services industry in America has certainly evolved from the days of EF Hutton, however, the...

By Sarah N. Lynch WASHINGTON - The Securities and Exchange Commission unveiled a long-awaited plan designed to protect the markets from volatile pr...

Active duty military members and their spouses will soon be able to see their FICO score for free, part of a unique partnership aimed at boosting financial literacy among those who serve our country.

I am no fan of the mandatory arbitration process imposed on investors by FINRA because investors usually lose or get a fraction of their losses.

I am often accused by brokers of being too hard on them. They say I cherry pick bad portfolios and there are many "hard working, honest brokers" who do the right thing for their clients. I used to believe it. I no longer do.

Joanne Bohnke is a 74 year old widow, hoping to make her $315,000 savings last longer than she does. She turned for advice, as most Americans unfortunately do, to her broker at Smith Barney.

NEW YORK, Jan 14 (By Jonathan Stempel) - A New York money manager with a long history of legal battles with the government has been charged with threa...

HOUSTON: U.S. regulators have notified some brokers who worked for indicted financier Allen Stanford that they may face civil fraud charges, the Fina...

General Holder, we're happy you're showing a pulse (it's overdue) and slamming the smaller weasels. But how about stopping the swindlers of all sizes before they've stripped their victims to the bone?

Will Ferrell lost a lawsuit against JPMorgan Chase and now has to pay a big legal fee, NYT's DealBook reports. The suit, which the actor filed in 200...

WASHINGTON — Market regulators have fined a New York-based brokerage firm $1 million for creating a false sense of demand for stocks that earned it ...

Despite the loss of $567 million from the FINRA portfolio in 2008, Mary Schapiro walked away from the non-profit industry association in 2009 with nearly $9 million.

Not long ago, if you were an investor seeking beat a financial scam you stood little, if any chance, of gaining justice. But an end to the outright inquisition of scammed investors may end soon.

With the mergers and acquisitions game heating up, the opportunities to beat the system with inside knowledge of non-publicly announced deals have become much greater.

Rodman & Renshaw and other Claimants filed a FINRA Arbitration Statement of Claim (initially in October 2006 and thereafter as amended) against Respondent Matthew N. Murray.

For those of you who still desperately cling to the belief that allowing Wall Street to self regulate itself works, perhaps this case may yet change your mind.

The $550 million settlement reached between Goldman Sachs and the Securities and Exchange Commission last month was not the end of investigations into...

Why isn't one of the pillars of emerging financial regulatory reform the institution of a "Black Swan" test that examines new financial product innovation and subjects it to some form of systemic risk consequence test?

It occurred to me that, somewhere along the way, people might be curious about understanding bigger banks in some context other than political vilification.

When Bill fired his broker after losing a substantial portion of his retirement portfolio, the lawyer he consulted said told him they had agreed to mandatory arbitration of all disputes with their broker. At the arbitration, a shocking thing happened.

They do quite a bit of surveillance at most casinos. Frankly, those paid to watch the games of chance do a better job than those paid to watch our stock markets. Take this recent case.