Inaccurate Disclosures Lead to $4.6M Restitution Order for Firm
A recent FINRA settlement highlights the importance of accurate customer [...]
15
01, 2026
15
01, 2026
Understanding the SEC’s Marketing Rule
The SEC’s modernized Marketing Rule has reshaped how investment advisers [...]
15
01, 2026
SEC Proposal May Redefine RIA “Small Entity” Status
The SEC has proposed amendments to how it defines “small [...]
11
12, 2025
FINRA Panel Orders $1.2M Payment
A FINRA arbitration panel has ordered a former Texas-based financial [...]
11
12, 2025
Supervision Gaps Spark $3M FINRA Penalty
FINRA recently fined a broker-dealer $3 million and ordered $2 [...]
17
11, 2025
$500M Fraud Crackdown Shows Need for Risk Oversight
A recent federal indictment and SEC complaint alleges a sprawling, [...]
17
11, 2025
Compliance Breaches Lead to 22-Month Rep Suspension
A former registered representative has agreed to a 22-month suspension [...]
16
10, 2025
FINRA Fines Firm $125K Over Disclosure Failures
FINRA has fined a broker-dealer $125,000 for failing to ensure [...]
16
10, 2025
Where National Security Compliance Is Falling Short
As national security enforcement intensifies, a new report from Eversheds [...]
16
10, 2025
Recordkeeping Failures Lead to $850K FINRA Fine
A recent FINRA enforcement action resulted in an $850,000 fine [...]
