Alabama-based Frazer Lanier failed to detect a $500 political contribution by one of the firm's muni finance professionals ...

The Financial Industry Regulatory Authority has fined Fidelity Investments $600,000 for failing to supervise over an ...

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

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.

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

Investor Relations [email protected] Media Relations [email protected] LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms ...

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 ...

We recently published a list of 15 AI Stocks That Skyrocketed in Q4. In this article, we are going to take a look at where ...

A Finra arbitration panel has rebuffed J.P. Morgan Securities’ request for $39.8 million in damages against one of its former advisors, a Texan whose clients sought some $140 million in damages after ...

Prepare for success with the Securities Institute of America. Comprehensive training, study materials, and tools to help you ...