Dual Registration Hits Majority Among FINRA Reps in 2026 Snapshot

June 1, 2026

FINRA Fines Dinosaur Financial $85,000 for Undisclosed Lease Guarantee

May 21, 2026

FINRA Censures Moody Capital Solutions, Fines Firm $50,000 for AML Lapses

May 8, 2026

Five Former Commonwealth Teams Merge to Launch $4 Billion RIA Platform

April 22, 2026

Bain Capital Takes Minority Stake in Osaic in $3.7B Capital Raise

April 10, 2026

FINRA Fines J.P. Morgan Securities $3.25M Over Supervisory Failures

April 8, 2026

FINRA Fines Broker-Dealer $600K for Off-Channel Communications, Recordkeeping Failures

March 26, 2026

FINRA Fines Stash Capital $450K for AML, Identity Theft Program Failures

March 23, 2026

FINRA Appoints Four Industry Leaders to Its Board of Governors

January 7, 2026

New FINRA Report Warns of Gen AI, Cyber Fraud, and Vendor Risk Exposure

December 9, 2025

$220 Million Ex-Cetera Team Transitions to Osaic

December 4, 2025

Cetera Announces Latest Layoff Round to Streamline Operations

November 24, 2025

FINRA Fines Broker-Dealer $250K for Customer Protection Rule Violations

October 26, 2025

FINRA Fines N.Y. Brokerage $275K Over Inaccurate Books and Registration Failures

October 20, 2025

FINRA Fines EFG $650K for Repeated Anti-Money Laundering Failures

October 16, 2025

FINRA Fines Boston Firm $20K Over Private Placement Filing Lapses

October 6, 2025

Former Florida Broker Pleads Guilty to $7.4M Investor and PPP Fraud Scheme

October 6, 2025

FINRA Fines Velocity Clearing $1 Million for Lapses in Manipulative-Trading Surveillance

October 2, 2025

Osaic Adds Ex-Commonwealth Firm Managing $460M in Client Assets

September 18, 2025

Oak Hill Securities Fined $125K for Violations in Handling Private Placements

September 18, 2025