Stifel to Pay $132M Over Structured Notes

Published on March 14, 2025

A family lost more than 65% of their investment due to the use of leverage, their lawyer says.

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Supreme Court Denies Alpine’s Attempt to Pause FINRA Enforcement

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Last month, Alpine Securities petitioned the Supreme Court to hear its ongoing lawsuit challenging the self-regulatory organization’s constitutionality in a case that could impact the industry.

FINRA Seeks Feedback on Remote Work, Branch Office Rules

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FINRA is undertaking a broad review of its rules and is looking for feedback by May 12.