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.

Meant to eliminate conflicts of interest on self-directed trading apps that use AI and predictive analytics, the rule would in fact cut off market access for many of the investors who use them, a lawyer for the tech firm argued in a recent public...

In the latest filing in its suit against FINRA in federal court, the Utah-based brokerage firm disputed the regulator’s claims that a ruling against it could have a dire impact on investors.

The SEC said it is delaying the decision on Hashdex's filing to 2024, a move they have already done for a number of other ETF hopefuls.

Despite industry protests asking for more time, the DOL will hold its public hearing on the rule next month and close the comment period Jan. 2.

Haywood USA failed to do due diligence for approximately 134 sales recommendations of private placement offerings totaling nearly $11 million, breaking FINRA rules and violating the SEC's care obligations.

Parsonex Capital Markets failed to tell clients that several of its reps and one of its affiliated firms had checkered regulatory histories, according to FINRA.