Bankers’ misdeeds would be cataloged, by name, on a private registry for hiring managers under a proposal that’s gaining traction...
Financial Industry Regulatory Authority News
Insurance companies are cutting back on their coverage of Toys “R” Us Inc. suppliers, bringing another headache to a retailer...
A California wealth adviser must pay two ex-employees almost $3.7 million for allegedly defaming them, a securities arbitration panel found....
Charles Schwab Corp. has dropped a fight to require customers to waive their rights to participate in class action lawsuits,...
Investment brokers advising retail customers should be held to a standard that requires them to recommend products that are in...
LPL Financial LLC must pay a total of $9 million for significant email system failures and making misstatements to Wall...
Charles Schwab Corp. has temporarily reversed its requirement that clients waive their right to bring class-action lawsuits, adding a new...
A top U.S. securities regulator on Tuesday urged the government to consider adopting new rules that would prohibit or restrict...
U.S. securities arbitrators ordered a former employee of Merrill Lynch, Deutsche Bank and Oppenheimer & Co. to pay nearly $11...
U.S. regulators approved Nasdaq OMX Group’s $62 million compensation plan for firms that lost money in Facebook Inc.’s glitch-ridden market...