Severely restricting the ability to dismiss frivolous claims may force respondents into early settlement and mediation — a more cost-effective alternative to arbitration. However, the ...

The Financial Industry Regulatory Authority (FINRA) continues its heightened regulation of crowdfunding platforms, trading volume overstatements, and digital signature forgery. Several policy ...

PIABA wants FINRA to stop letting firms remove arbitrators who previously ruled against them in similar dispute cases ...

The Securities Industry and Financial Markets Association has outlined a series of recommendations it says would improve the fairness and efficiency of the Financial Industry Regulatory Authority’s ...

On January 8, 2026, Financial Industry Regulatory Authority (FINRA) issued a letter in Estate of Lovejoy Duryea and Ella Duryea Trust v.

Regulator says St. Louis-based hybrid firm failed for years to supervise, retain, and produce thousands of business-related ...

In a letter to Finra president and CEO Robert Cook, the Public Investors Advocate Bar Association (PIABA) urged the regulator to rethink a recent practice that allows broker-dealers to seek removal of ...

Sen. Elizabeth Warren and Rep. Katie Porter have accused Finra of failing to answer "key questions" about a court ruling that determined the regulator worked with Wells Fargo to manipulate the ...

In the enforcement action, FINRA imposed an $850,000 fine on a financial services firm, alleging that social media posts made by influencers on the firm’s behalf contained exaggerated, unwarranted, ...

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 ...