FINRA
Stephens COO Brad Eichler Elected to FINRA Board of Governors
As a FINRA board member, he joins the organization's efforts to oversee U.S. broker-dealer regulations. read more >
Adviser’s Serial Firings Show ‘Big Problem’ at Brokerages
Sen. Elizabeth Warren and Sen. Tom Cotton have asked FINRA to address what it's doing about firms that routinely employ brokers with a history of fleecing clients. read more >
by Associated Press -
Stephens Inc. Fined $900K for Lax Supervision of Internal Emails
Stephens Inc. consented to the FINRA fine without admitting or denying the findings, and spokesman Frank Thomas told Arkansas Business that Stephens Inc. would not comment on the order. read more >
by Gwen Moritz -
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