A former LPL Financial advisor in Texas who was fired in 2021 after a TikTok video emerged in which she appeared to make racist remarks about hiring practices has been ordered by an arbitration panel ...

George Gile spent over a decade building a wealth management career before joining J.P. Morgan Securities, LLC in September 2022. Now, he is taking the firm and its parent company, J.P. Morgan Chase & ...

The Financial Industry Regulatory Authority (FINRA) is once again proposing changes to how broker-dealers supervise some of the work of advisors registered with independent broker-dealers, touching ...

Moving those responsibilities into the SEC would raise practical questions about resources and capacity, experts say.

During a House Committee hearing, lawyers testified on the effectiveness of FINRA, as they consider a bill to fold it into ...

The Public Investors Advocate Bar Association (PIABA) today slammed the recent decision by the Financial Industry Regulatory Authority (Finra) to approve a $50 million rebate to its member firms ...

FINRA’s continued focus on account recommendations and rollovers is evident in its 2025 FINRA Annual Regulatory Oversight Report (the Report), Based on the Report, broker-dealers and their registered ...

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 ...

FINRA rules for greater scrutiny of brokers with misconduct records may have simply nudged those individuals into insurance registrations with more lax supervision, a new study found. Processing ...

The advisors at the center of an ongoing legal spat between Ameriprise and LPL Financial are urging the court to pause the case while FINRA arbitration proceedings play out. In an order issued last ...