TD Ameritrade Inc. has been hit with an $8 million arbitration claim by a group of options traders who say they lost money last summer during final integration of the thinkorswim trading platform…

Beware nontraded real estate investment trusts. That advice was issued early this month by the Financial Industry Regulatory Authority, the nongovernmental regulator of securities firms…

Investors who want to redeem their shares in the Apple family of non-traded REITs marketed by David Lerner Associates Inc., which has become the target of a regulatory action, may be out of luck…

Two years on and a bit more, attorneys like Daxton White are still filing suit or doing FINRA (Financial Industry Regulatory Authority) mediation and arbitration hearings for clients who were bilked, defrauded, led down the garden path and otherwise separated from their money by unscrupulous and indeed sometimes criminal brokers and investment companies…

Two years on and a bit more, attorneys like Daxton White are still filing suit or doing FINRA (Financial Industry Regulatory Authority) mediation and arbitration hearings for clients who were bilked, defrauded, led down the garden path and otherwise separated from their money by unscrupulous and indeed sometimes criminal brokers and investment companies…

Most investor claims must go through arbitration, rather than through courts. They must be submitted under rules established by the Financial Industry Regulatory Authority, an industry self-regulatory organization…