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?

Robinhood and others made the comments in response to Finra's April notice to members about diversity. Monday was the final day for comments. In that April 29 notice, Finra said it was seeking comment ...

A: While this may seem confusing at first, the answers are fairly simple. First, the arbitration is not showing up on your U4 because your prior employer submitted it on a U5. (Or, rather via an ...

The Social Security Administration (SSA) is an enormous organization, and the decisions it makes regarding your benefits can have a big impact on your finances. It’s not unusual to feel overwhelmed ...

Choosing a financial advisor goes beyond finding someone to manage your investments. It's about ensuring that they operate with transparency and with your best interests in mind. This requires diving ...

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, ...

Q: After the 2008 crash, my house went into foreclosure. I entered into an agreement with my mortgage lender, which allowed a short sale on the home to satisfy the mortgage in exchange for the ...

Q: My independent firm told me that I am responsible for reporting “complaints” I get from my clients to the firm's compliance officer. Not surprisingly, since Labor Day, I've had more clients ...