According to InvestmentNews, the panel’s award included about $5.375 million in compensatory damages plus $125,000 in costs.

Everyone wants to know what tomorrow will bring, and FINRA has proposed amendments to Rule 2210 (Proposed Amendments) that ...

The Federal Reserve (Fed) kept rates unchanged, having delivered three rate cuts in 2025 with projections for two additional ...

The penalty is the latest reminder that off-channel communications is still a live issue with regulators.

Unsolicited credit card offers aren’t just clutter—they’re a privacy leak you can reduce with a few targeted moves, ...

Jeffrey Lehtman joined Barnes & Thornburg as a partner in its White Collar, Compliance and Investigations practice in Washington, D.C., the firm announced Feb. 3.

Regulator says St. Louis-based hybrid firm failed for years to supervise, retain, and produce thousands of business-related ...

Kyle Blackmon had been seeking nearly $20 million for alleged negligence and mismanagement of his employee stock options.

Putting off a purchase today can feel like saving, but if you'll just spend on the same thing later you're merely postponing the inevitable.

"These municipal bond schemes improperly divert new issue bonds to bad actors at the expense of bona fide retail investors," FINRA's Meghan Ferguson said.

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Alan Wolper, Heidi VonderHeide and Nathan Lamb joined Thompson Hine as partners in its securities litigation and regulatory enforcement practice in Chicago, the firm announced Feb. 2.