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

DOL Sides With Morgan Stanley in Deferred Compensation Conflict

September 14, 2025

Jefferies Fined $1M by FINRA for Customer Protection Rule Violations

September 11, 2025

FINRA Suspends Centaurus Broker for Unsuitable Alts Guidance to Three Clients

August 25, 2025

FINRA Board Elects Large Firm, Small Firm Governor Members

August 20, 2025

SEC Scales Back FINRA Ban For Ex-CCO Found Writing on Himself During Exam

July 18, 2025

FINRA Returns $50 Million in Regulatory Fees to Member Firms

July 2, 2025

NASAA Announces $9.3M Settlement With Five Firms That Overcharged Customers

June 9, 2025

Linsco by LPL Financial Adds Another SoCal Adviser, Formerly With Merrill

May 30, 2025

Financial Adviser With $445M in Assets Joins Linsco by LPL Financial

May 27, 2025

Dead Wrong: FINRA Fines Broker Over Undisclosed $1 Million Bequest

May 22, 2025

FINRA Fines David Lerner Associates and Reps More Than $1M for Unsuitable Sales

May 21, 2025

Goldman Sachs Fined $1.45 Million for Billions of Misreported Trades

May 16, 2025

LPL Financial Adds Former Osaic Team With $350 Million

April 25, 2025

FINRA Fines Suspended Md.-Based Firm and Its Principal for Chronic Compliance Failures

April 25, 2025

Ex-Rep of Expelled Firm Suspended for Deceptive Marketing and Pandemic Fraud

March 24, 2025

Never Alone, Never Legit? SEC Charges Fraudster in $4M Investment Scheme

February 26, 2025

SEC Obtains Final Judgement in $67 Million Mortgage and Ponzi Scheme

February 23, 2025