Financial Industry Regulatory Authority (FINRA)


The Financial Industry Regulatory Authority, Inc. (FINRA) is the largest independent regulator of securities firms doing business with the public in the United States.


C Suisse brokers score partial victory against the bank


Dozens of former Credit Suisse advisers who have been fighting for their deferred compensation after leaving the bank last year scored a partial victory on Friday when the brokerage industry’s main regulator said member firms cannot make workers waive their rights to settle disputes in the regulator’s own arbitration forum.


SEC Building

SEC charges UBS Puerto Rico

The Securities and Exchange Commission has charged UBS Financial Services of Puerto Rico and a former branch manager for failing to supervise a former broker who had customers invest in UBSPR affiliated mutual funds using money borrowed from a UBSPR affiliated bank.


Goldman prevails over Marvell

Goldman Sachs beat back more than $300m in claims from two co-founders of Marvell Technology Group who alleged the investment bank tricked them into selling shares of their company.

Bank Of America Corner Signs

BofA makes another mistake

Bank of America said it sent incorrect data to a U.S. regulator that made its private stock trading platform look bigger than it actually is.