financial industry regulatory authority

Robinhood got fined for the way it handled “commission free” trades

Robinhood got fined for the way it handled “commission free” trades

Maybe brokerage commissions aren't such a bad deal after all.
Uh-oh, Brex Cash accounts are insured just like Robinhood’s

Uh-oh, Brex Cash accounts are insured just like Robinhood’s

Like Robinhood did with its checking accounts, Brex claims SIPC protection for a new financial product.
Small Investors Are Prey, Again, for the Wolves of Wall Street

Small Investors Are Prey, Again, for the Wolves of Wall Street

Wall Street's excesses were supposed to be reined in by new rules passed after the 2008 financial crisis.
Caring for Aging Parents, With an Eye on the Broker Handling Their Savings

Caring for Aging Parents, With an Eye on the Broker Handling Their Savings

Tracey Dewart helped oversee her father’s brokerage account. A close look at one monthly statement led her to uncover a pattern of unauthorized trades and excessive commissions.
Caring for Aging Parents, With an Eye on the Broker Handling Their Savings

Caring for Aging Parents, With an Eye on the Broker Handling Their Savings

Tracey Dewart helped oversee her father’s brokerage account. A close look at one monthly statement led her to uncover a pattern of unauthorized trades and excessive commissions.
For four years, Citigroup told clients to “sell” when it really meant “buy”

For four years, Citigroup told clients to “sell” when it really meant “buy”

How useful are stock ratings? A glitch at Citigroup spanning more than four years has given investors another reason to ask that question. The bank’s…
Citigroup Fined for Showing Customers Wrong Stock Ratings

Citigroup Fined for Showing Customers Wrong Stock Ratings

Citigroup agreed to pay $11.5 million in fines and compensatory damages to resolve claims that it gave mom-and-pop investors wrong or outdated information about its analysts’ recommendations.

Another View: The Changes Confronting the Investment Advisory Business

Advisers still have an important role to play, but need to embrace the technology and customized planning that investors are increasingly demanding.
Fiduciary Rule Is Now in Question. What’s Next for Investors.

Fiduciary Rule Is Now in Question. What’s Next for Investors.

President Trump with Stephen Schwarzman, chief executive of the Blackstone Group, at the White House. Mr. Trump on Friday signed an executive order seeking to review a rule that would have forced
Off the Shelf: Making Your Family Better at Personal Finance

Off the Shelf: Making Your Family Better at Personal Finance

Beth Kobliner’s latest book draws on her experience as a mother to help parents give age-appropriate financial advice to their children.
Your Money: Should Trump Undo Investor Protections? Meet the Brokers of Madison County

Your Money: Should Trump Undo Investor Protections? Meet the Brokers of Madison County

Two brokerage firms, Clayton, Lowell & Conger and Ridgeway & Conger, in New Woodstock, N.Y., are no longer in operation. The building is for sale.
Wells Fargo Faces Scrutiny for Black Marks on Ex-Employee Files

Wells Fargo Faces Scrutiny for Black Marks on Ex-Employee Files

Timothy J. Sloan, Wells Fargo’s chief executive.
Wells Fargo Faces Scrutiny for Black Marks on Ex-Employee Files

Wells Fargo Faces Scrutiny for Black Marks on Ex-Employee Files

Timothy J. Sloan, Wells Fargo’s chief executive.