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  1. Articles

    Finra's Susan Axelrod: Finding a job you love is what matters

    My professional life started on Wall Street — a male-dominated environment that has evolved a lot over the course of my career — and that has shaped who I am personally and professionally.

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    Investor lawyers say Finra moving too quickly on arbitration unit

    Plaintiffs' attorneys representing investors are calling on Finra to slow down a proposal that would bring its dispute resolution arm back in house.The Public Investors Arbitration Bar Association said that the industry-funded broker-dealer regulator has not provided enough time to comment on the

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    Finra arbitration cases are down, but the rest of the year may tell another story

    A former Finra director says wild market gyrations over the summer will induce cases that could take months to fully reveal themselves.

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    Latest sentencing in $1.2B Scott Rothstein Ponzi scheme

    Michael Szafranski was the financial adviser to the scheme's mastermind, Scott Rothstein.

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    Finra efforts fail to reduce brokers' record-cleansing: PIABA

    Between 2012-14, expungement was granted in 87.8% of cases in which it was sought, according to the Public Investors Arbitration Bar Association.

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    Mandatory arbitration reform on the docket at CFPB

    Experts in the financial industry question what spillover effect it will have on such clauses for brokers.

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    As DOL fiduciary heats up, both sides dig in

    Battle over the Labor Department's proposed fiduciary rule reaches a new level of nasty.

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    Mary Jo White's record scrutinized by critics and supporters

    As she enters what could be her last year as chairwoman of the SEC, experts grade Mary Jo White's performance.

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    Reining in expungements

    Move to restrict broker expungement should improve confidence that the arbitration system is fair to investors.

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    LPL and $775 million adviser part ways amid investigation

    The broker-dealer and its top adviser in Louisiana cut ties after the adviser received a Wells notice announcing a Finra investigation. Adviser says the separation is unrelated.

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    Finra presses ahead with proposal to temper expungement

    The regulator's Board of Governors authorized amendments to the code of arbitration and also approved a separate item to protect senior investors.

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    Finra board to consider tougher expungement guidance to arbitrators

    Inserting strong language into rules, such as that wiping clean a broker's record should only be considered 'an extreme remedy,' could give it more weight.

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    UBS to pay $2.9 million to settle investor Puerto Rico claims

    Finra orders the firm to pay about $2.9 million to two investors in Puerto Rico closed-end municipal bond funds. Total claims top $1.1 billion.

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    Morgan Stanley ordered to pay $2.4M arbitration award over former broker's trades

    Broker Steven Mark Wyatt was accused of unauthorized and excessive stock-market trading during and after the 2008 financial crisis.

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    Royal Alliance to pay $1.4 million over nontraded REIT, VA sales

    Award is tied to string of cases brought by retirees who said a broker placed them in unsuitable investments.