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

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

Arbitration is a process for resolving disputes between investors and brokers. Explore its workings, costs, and how decisions ...

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 ...

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

In August 2025, the Financial Industry Regulatory Authority Dispute Resolution Services (“FINRA DRS”) amended certain Rules related to the length of processing arbitration proceedings. FINRA DRS ...

Investor advocates are up in arms about a FINRA rule change they contend could prevent aggrieved brokerage clients from getting a fair hearing before their peers. Processing Content The Financial ...

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 ...

Ethan A. Brecher writes: The consequences to a Financial Industry Regulatory Authority registered representative for not paying an adverse arbitration award can be career-threatening, yet non-payment ...

According to FINRA’s complaint, which was filed against Walesa in August with FINRA’s internal Office of Hearing Officers, ...

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 ...