As millennials hit major money milestones, experts explain how to choose a financial advisor with a long‑term fit.

When Gerri Walsh, president of the Financial Industry Regulatory Authority (FINRA) Investor Education Foundation, graduated from the New York University School of Law, she was swamped with student ...

Some red flags are worse than others. This free online tool gives you information you need. It's easy to do your due diligence before hiring a financial adviser: You can use BrokerCheck to see if the ...

It’s easy to do your due diligence before hiring a financial adviser: You can use BrokerCheck to see if the adviser has any disciplinary black marks. Finra, the private, not-for-profit organization ...

The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, the latest effort by a regulator to crack down on pump-and-dump schemes.

Raymond James has asked a federal judge to compel a former advisor to immediately fork over the more than $2.5 million that an arbitration panel ordered him to repay the firm for breaching two ...

The Financial Industry Regulatory Authority fined and suspended a former Osaic advisor after the regulator said he accepted a $1 million bequest from a client in violation of Finra rules. Kenneth John ...

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This content is provided by an external author without editing by Finextra. It expresses the views and opinions of the author. The report reflects FINRA’s commitment to providing transparency to ...

Liz Manning has researched, written, and edited trading, investing, and personal finance content for years, following her time working in institutional sales, commercial banking, retail investing, ...

As part of your due diligence, conduct a thorough background check before choosing a financial advisor to manage your investments, retirement or estate planning. After all, you don't want to hand over ...