From the boiler room-basement brokerages of southern New Jersey to the opulent office suites of midtown Manhattan hedge funds, the U.S. financial poli...

WASHINGTON -- The Financial Industry Regulatory Authority says five of the country's largest banks will pay $4.5 million to settle claims they used mu...

* Blames weak trading volume, low investment returns * Group's top executive earned $2.7 million in 2011 * Group is rais...

(Repeats story originally published overnight) By Suzanne Barlyn NEW YORK, June 19 (Reuters) - It is not every day that ...

By Jason Wallace and Suzanne Barlyn (Reuters) - As the securities industry finally warms up to using social media sites such as Faceboo...

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.