Sassi Mizrahi was sentenced to more than seven years in prison after being found guilty of five counts of wire fraud related to helping his brother defraud at least 40 investors, according to the Justice Department.

Jason J. Eaton, who allegedly called himself a "reformed broker," was arrested by the ATF for allegedly shooting three 20-year old Palestinian students in Vermont this weekend. Eaton has a FINRA history, with a series of short stints at TD...

Gen X, millennials and Gen Z each require a tailored approach based on their values and beliefs.

The SEC also charged the firm with failing to adhere to policies and procedures designed to catch evidence of excessive trading in client accounts.

You set yourself apart when you recognize your clients’ losses and support them in ways that most others do not.

Meant to eliminate conflicts of interest on self-directed trading apps that use AI and predictive analytics, the rule would in fact cut off market access for many of the investors who use them, a lawyer for the tech firm argued in a recent public...