A Utah-based securities broker-dealer will have to face an enforcement proceeding over its business practices from the ...

Robinhood settles FINRA probes with a $29.75M payment over compliance failures, including AML issues, transaction delays, and ...

The probe, by the Financial Industry Regulatory Authority, is focusing on whether the former employee violated federal ...

contact the firm to see if you can resolve the issue. If you're still unsatisfied with the firm's response, you can file a complaint with FINRA.

Calvin Gray repeatedly impersonated victims who were customers of a number of other banks and financial institutions, ...

An avenue to file complaints against brokers or firms. FINRA will investigate the claim and take action as appropriate. Educational resources for investors and consumers, including articles and ...

A group of nine claimants said they lost millions after the UBS broker Andrew Burish recommended they place bets that Tesla shares would decline in value.