We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Finra will be able to tell investors searching a brokerage industry database whether a firm has a habit of misconduct or employs many registered representatives with disciplinary records, a move that ...

A federal judge just shut down an advisor's attempt to erase customer complaints from his record by suing FINRA directly, reinforcing the regulator's grip over BrokerCheck. If you have ever thought ...

As part of your due diligence, conduct a thorough background check before choosing a financial advisor to manage your investments, retirement or estate planning. After all, you don't want to hand over ...