If the SEC approves a rule change proposed this summer by FINRA, some veteran plaintiff lawyers could have fewer opportunities to serve on arbitration panels for disputes between investors and brokers ...

The Financial Industry Regulatory Authority (FINRA) has named Washington-based securities lawyer, Robert Cook, as its new president and chief executive officer, the regulator said on Monday. Cook, a ...

FINRA’s 2025 disciplinary statistics reflect a significant reining-in of FINRA’s enforcement program,' according to analysis.

Stockholder litigation is on the rise both in volume and notoriety. The number of federal securities actions filed jumped in 2023, while the plaintiffs’ bar has been buoyed by high-profile victories ...

October 13, 2025 - Two decades ago, the legal market for securities lawyers was deep, stable, and well-supplied. Law firms and public companies alike maintained robust benches of attorneys with ...

A group of investor-advocacy lawyers is blasting a decision by Finra, the brokerage industry’s self-regulatory organization, to issue $50 million in rebates to member firms rather than to use that ...

An embattled securities broker urged the U.S. Supreme Court on Thursday to block an enforcement proceeding from the Financial Industry Regulatory Authority while the company challenges the ...

ORLANDO, Fla., Oct 16 (Reuters) - Brokers who seek to erase black marks from their public records succeed at an "alarmingly high" rate following settlements with investors who alleged they lost money, ...