A federal judge just shut down an advisor's attempt to erase customer complaints from his record by suing FINRA directly, ...

A former financial advisor who was barred from the industry in 2023 and is in the middle of at least one contentious Finra industry arbitration involving alternative investments and private placements ...

A Finra panel decision yesterday in an arbitration between J.P. Morgan Securities and a former advisor with the firm offered rare insight into ways the firm might use the Form U5—the official document ...

Investor advocates are up in arms about a FINRA rule change they contend could prevent aggrieved brokerage clients from getting a fair hearing before their peers. Processing Content The Financial ...

Ethan A. Brecher writes: The consequences to a Financial Industry Regulatory Authority registered representative for not paying an adverse arbitration award can be career-threatening, yet non-payment ...

The Securities Industry and Financial Markets Association (SIFMA) is urging the Financial Industry Regulatory Authority to change termination reporting and create tougher arbitration standards to ...

Arbitration and litigation are two ways to resolve legal disputes. Arbitration is a private process in which the parties present their cases to one or more arbitrators who make a final decision. It is ...