A major modification to the proposal would allow state regulators to participate in arbitration hearings that determine whether to clear a broker's record of a customer dispute.

Clark County will investigate The Siegel Group's treatment of tenants during the pandemic after a federal investigation found the landlord engaged in "uniquely egregious" practices to evict residents.

The risky, illiquid investments were sold to recent retirees.

For years, Lisa Braganca has advocated reforming the way that registered representatives can clear their records of customer complaints. But when the Finra board announced last week that it had approved revisions to a previous proposal for doing so, Braganca was caught off guard.

A Delaware-based investment advisory firm is facing fraud charges from the SEC over claims that its clients were defrauded in a nearly five-year cherry picking scheme that put more than $1 million in the owner’s pocket.

On November 15, 2019, Maricopa County Superior Court Judge Erin Otis kept a secret.

If you were looking for reasons why members of Congress trading stocks can be a bad look, Rep. Doug Lamborn’s curious, aggressive trading style is a case-study in questionable behavior.

The Financial Industry Regulatory Authority Inc. included a section about Reg BI compliance in its annual report on its examination program. The broker-dealer self-regulator& outlined on pages 26-27 its findings from Reg BI exams, most of which involved shortcomings like brokerages not acting in their customers’ best interests and failing to mitigate conflicts of interest.