Would you want to know if your financial advisor was a criminal? What about if they'd ripped off another client? Or if they've been incentivized to sell you products that aren't in your best interest?

The Financial Industry Regulatory Authority Inc. could help foster diversity in the securities industry if it rethought questions about criminal activity on the basic employment record for the roughly ...

Q: Over six months ago, I left my brokerage firm. After I left, an arbitration claim was filed against me and the firm, and we’ve now settled that case for an amount in excess of $15,000. My new ...

During the relevant times, Razey was a registered person with Ameriprise Financial Services, Inc. (f/k/a American Express Financial Advisors, Inc.) and had no prior FINRA disciplinary history. The ...

For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, ...

Several years ago while in college I borrowed a friend's driver's license to get into a bar. I was stopped by a police officer, and when he asked me if it was my license I immediately "fessed up." ...

Peggy Chait, compliance consultant, chats with Bruce and Jeff about Finra's effort to increase the diversity of the financial services industry. They discuss the details of Form U4, disclosures, and ...

Investopedia contributors come from a range of backgrounds, and over 25 years there have been thousands of expert writers and editors who have contributed. Amy Soricelli has over 40 years working with ...