A federal judge just shut down an advisor's attempt to erase customer complaints from his record by suing FINRA directly, ...

FINRA has quietly and quickly won approval for a rule that lets brokers keep their private addresses off the online BrokerCheck database with a simple check of a box. Processing Content With the lapse ...

AstraBit was granted membership by the Financial Industry Regulatory Authority (FINRA) on December 16, 2025, registering as a broker-dealer in the United States. Broker-dealer registration is publicly ...

FINRA is not giving up on its initiative to require firms to include a link to its BrokerCheck database on web sites, social media pages or any other online communications. “We withdrew it not because ...

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 ...

Investors will be able to see whether a brokerage has been flagged for having a history of misconduct or employing a number of reps with disciplinary violations. By Mark Schoeff Jr. Finra will be able ...

A proposal from the Financial Industry Regulatory Authority (FINRA) designed to make it more difficult for securities brokers to expunge customer disputes from their publicly available records ...

Richard Lance Belline had a 30-year career as a broker with Equitable Advisors in Rogers, Ark., beginning in December 1993 and running until October 18, 2023, according to BrokerCheck. He became ...

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 ...

BrokerCheck provides detailed backgrounds on financial advisors and their firms. It includes advisors' registration, employment history, and any disciplinary actions. Using BrokerCheck does not alert ...

FINRA's mission is protecting investors and ensuring the integrity of U.S. securities markets. Have you ever wondered who protects investors -- and how? If you invest, it can pay to know about FINRA, ...

The Financial Industry Regulatory Authority, also known as FINRA, helps protect investors by regulating brokers in the United States. It does this through rulemaking, enforcement, investigations and ...