Stifel blasts ‘unfair FINRA process,’ vows to fight record $133M award
Stifel plans to appeal a federal judge's decision this week to uphold a record nearly $133 million arbitration award it ...
Friday, April 3, 2026
Tag: FINRA
FINRA refunding $100M to member firms on March 31
FINRA will distribute $100 million in surplus regulatory fees to its member firms by the end of this month.Processing ContentThe ...
Dynasty accuses Merrill of ‘bad faith’ in fight over FINRA arbitration
Dynasty Financial Partners accused Merrill of acting in "bad faith" in a court filing Thursday in an escalating legal dispute ...
FINRA seeks to lessen brokers’ oversight of RIAs
Thanks to a new FINRA rule, brokerages should soon be relieved of their current duty to keep tabs on their ...
FINRA puts forward new anti-elder fraud proposal
FINRA has proposed rule changes aimed at combating investment scams — particularly against senior citizens — in part by empowering ...
FINRA study shows retail investor knowledge gaps
A brief surge in retail investors during the pandemic may be over, but wealth management firms nevertheless have an opportunity ...
FINRA proposal would make e-delivery broker standard
If brokerage clients want to continue receiving account statements on paper, they may soon have to ask for it.Processing ContentThe ...
FINRA finds appetite strong for online investing advice
George Cheng of Pillar Point Wealth Management says that some of his most productive financial planning discussions start with a ...
FINRA calls attention to AI compliance risks
Brokerages should monitor not only their own use of AI, but also how third-party service providers and scammers are employing ...
FINRA investigates IPOs of small foreign firm
The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, the latest effort by ...
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