A former financial advisor was suspended for eight months and fined $5,000 after he allegedly violated FINRA Rule 2010. FINRA Rule 2010 provides ...

Prospera Financial Services, Inc. ("Prospera"), a boutique wealth management firm supporting a nationwide network of ...

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 ...

The professional bar association for investor attorneys is accusing the Financial Industry Regulatory Authority (Finra) of increasing professional requirements for arbitrators without public notice or ...

According to FINRA’s complaint, which was filed against Walesa in August with FINRA’s internal Office of Hearing Officers, ...

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 ...

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 ...

Cetera agrees to pay $1.1 million fine after FINRA found the firm failed to properly monitor suspicious penny stock transactions ...

Brokers were worried a new rule intended to lighten their responsibility to monitor advisors' side hustles would ironically ...

We analyzed everything from advisor credentials to fees to portfolio options at some of the larger and more well-known registered investment advisor firms to help you select a firm that could best con ...

On January 8, 2026, Financial Industry Regulatory Authority (FINRA) issued a letter in Estate of Lovejoy Duryea and Ella Duryea Trust v.