An ex– Morgan Stanley financial advisor has been barred from the industry for failing to cooperate with a regulatory investigation of the circumstances surrounding his departure from the wirehouse.

Capstone Green Energy Holdings, Inc. (the "Company") (OTC:CGEH) today announced that on January 6, 2025, the Company received an official notification from the Financial Industry Regulatory Authority ...

While the system monitored equity trades, it did not cover these specific products. As a result, more than 20,000 customer accounts circumvented full cash payments, engaging in trades without ...

Discover what a Series 6 license is, the requirements to obtain it, and why it's essential for professionals in the financial services industry.

The core of the problem stemmed from UBS FSI's use of its Trade Allocation and Processing System (TAPS). The system handled ...

Looking for the best FINRA Series exam prep? Read our in-depth Securities Training Corporation review to see if STC is worth ...

A three-person Finra Dispute Resolution Services panel the day after Christmas awarded a Wells Fargo Advisors client $3.4 ...

To achieve success on the FINRA exam, it is essential to dedicate the necessary time and effort to studying intelligently and ...

Both sides, the firms as well as the regulators, want to clean up their books going into the new year,” one executive said.

The firm failed to detect that millions of accounts were buying securities without first paying for them, the regulator said.

A top Wall Street regulator ordered Edward Jones, Osaic Wealth, and Cambridge Investment Research to pay more than $8.2 ...

A recent court ruling says FINRA can no longer shut down broker-dealers on its own and now requires SEC approval. That’s good news for unscrupulous brokerages, which could get even better once ...