Payment for order flow allows brokerages and big traders to team up against the little guy.

SoFi Securities, SogoTrade, M1 Finance and Open to the Public Investing will pay more than $1 million in restitution after clients were promised fees from lending securities they allegedly never received.

The new rule gives more time for companies created in 2024 to file initial beneficial ownership reports.

The IRS has been asking individuals to disclose if they've transacted in cryptocurrency since the 2019 tax year.

In a session that lasted more than two hours, the justices suggested that people accused of fraud by the SEC have a constitutional right to go before a federal court jury, at least when the commission is seeking civil penalties.

The U.S. Supreme Court hears arguments today on the SEC's ability to use in-house judges to seek multimillion-dollar penalties.

Sassi Mizrahi was sentenced to more than seven years in prison after being found guilty of five counts of wire fraud related to helping his brother defraud at least 40 investors, according to the Justice Department.

Jason J. Eaton, who allegedly called himself a "reformed broker," was arrested by the ATF for allegedly shooting three 20-year old Palestinian students in Vermont this weekend. Eaton has a FINRA history, with a series of short stints at TD...

The SEC also charged the firm with failing to adhere to policies and procedures designed to catch evidence of excessive trading in client accounts.