FINRA recently banned 11 people from working in the securities industry and suspended 16.

Of the total $2.4 million in fines doled out in December to brokerage firms, several large levies arose from alleged ina...

The broker, Trevor Rahn, was discharged about three months after a settlement over a customer’s complaint that he had ma...

How one woman discovered excessive and unauthorized trading in a fund meant to support her mother and father in their la...