Recordkeeping Failures Lead to $850K FINRA Fine
A recent FINRA enforcement action resulted in an $850,000 fine [...]
16
10, 2025
15
09, 2025
FINRA’s Disciplinary Trends: Where Firms Are Falling Short
Each month, FINRA’s disciplinary actions highlight the areas where firms [...]
15
09, 2025
Reg BI Breach Leads to $260K in Client Losses
FINRA has suspended a registered representative for nine months and [...]
12
09, 2025
FINRA Fines & Suspends Rep for Off-Channel Messaging
FINRA has suspended and fined a former registered representative after [...]
12
09, 2025
FINRA Reminds Firms of CE Deadlines and Requirements
With the year-end deadline approaching, FINRA has issued a reminder [...]
18
08, 2025
Senior Investor Protection Moves to the Forefront
FINRA is stepping up its long-standing efforts to safeguard senior [...]
18
08, 2025
FINRA Fines Firm for Supervisory Failures in Private Placements
FINRA has fined and censured a broker-dealer for failing to [...]
14
07, 2025
$2.9M in Unauthorized Fees Uncovered By The SEC
A Chicago-based investment advisory firm is facing serious allegations from [...]
11
07, 2025
FINRA’s Remote Oversight Plan Faces Criticism From PIABA
Regulatory inspections have long been a cornerstone of FINRA’s oversight [...]
13
06, 2025
Firm Pays $275K for TRACE Reporting Failure
A FINRA member firm has agreed to pay a $275,000 [...]
