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 ...

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?

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 ...

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 ...

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 ...

Peggy Chait, compliance consultant, chats with Bruce and Jeff about Finra's effort to increase the diversity of the financial services industry. They discuss the details of Form U4, disclosures, and ...

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, ...