Derek Lee Copeland, without admitting to or denying the allegations of the complaint, submitted an offer of settlement to Finra that he participated in 74 unauthorized private securities transactions, ...

It is critically important to build a relationship with a regulator,” said Bradford Edwards & Varlack partner Denver Edwards. “It is critically important to treat them like they're smart and engaged ...

Ropes & Gray attorneys Amy Jane Longo, Lisa Bebchick and Shannon Capone Kirk discuss the use of AI in the financial services ...

A financial industry arbitration panel has ordered Stifel, Nicolaus & Co. Inc. to pay $7 million in attorney’s fees to a ...

Stifel Financial on Thursday said it has been ordered to pay $132 million connection with allegations regarding investment recommendations. The Financial Industry Regulatory Authority, a U.S.

Past efforts to restructure bank supervision have been derailed by politics and agency turf wars. It remains to be seen whether the Trump administration is willing to spend the political capital ...

On 11 March 2025, the UK’s financial regulators confirmed they have decided not to move forward with proposed diversity and ...