Douglas M. Jacoby brings over 25 years of experience to the position at Laidlaw & Co. as General CounselDouglas M. Jacoby previously served ...

During a probe of Smith’s compliance with continuing education requirements, FINRA sought sworn testimony, the complaint says. The self-regulator’s request allegedly said Smith could face expulsion ...

Many Americans are heavily reliant — even solely reliant — on their Social Security benefit to get by in retirement. More ...

FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight ...

The widow claims Morgan Stanley should have done more to slow or block her withdrawal of more than $2 million from the firm.

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting ...

NEW YORK, Feb. 12, 2025 (GLOBE NEWSWIRE) -- Clear Street, (“Clear Street”, “the Company”) a cloud-native financial technology firm on a mission to modernise the brokerage ecosystem, today announced ...