FINRA Fines Freeloading Rep for Improper Travel and Meal Expenses

January 27, 2025

Robinhood B-Ds to Pay $45M in Combined Penalties for 10 Separate Securities Law Violations

January 13, 2025

FINRA Fines UBS $1.1 Million for Trade Confirmation Rules Violations

January 1, 2025

Barclays Capital Fined $1 Million for Net Capital Rules Violations

January 1, 2025

No Free Lunch: FINRA Fines Broker for Improper Meal Expenses

December 30, 2024

Interactive Brokers Fined $2.25 Million for Free-Riding Violations

December 30, 2024

Former Broker Refuses to Comply with FINRA Requests, Barred for Alleged Misconduct

December 30, 2024

Colorado-Based Investment Manager Accused of Misusing Opportunity Zone Funds

December 25, 2024

FINRA Hits UBS With Nearly $3.5M Penalty for Unsuitable Short-Term Trading of Syndicate Preferred Stocks

December 19, 2024

SEC Fines Unregistered Rep for Role in $122 Million Oil & Gas Scheme

December 10, 2024

SEC Fines Morgan Stanley $15 Million for Enabling Millions in Adviser Theft

December 9, 2024

LPL Adds Community Service-Oriented Team With $550M in Client Assets

December 9, 2024

Moomoo Financial Fined $750,000 for Misleading Social Media Marketing

December 2, 2024

LPL Adds Trio of Adviser Teams Totaling $740 Million in Assets

November 26, 2024

SEC Fines Three Broker-Dealers for Deficient Suspicious Activity Reports

November 25, 2024

FINRA Fines MML $700K for Supervisory Failures Related to Consolidated Reports

November 21, 2024

Drexel Hamilton, Reps Sanctioned $1.2M Total for Manipulating Municipal Bond Offerings

November 20, 2024

FINRA Seeks to Raise Financial Member Fees in 2025

November 14, 2024

Morgan Stanley Dealt Major Blow in Deferred Compensation Suit

November 8, 2024

Former Investment Adviser, Sentenced for Misappropriating Millions From Clients, Now Faces SEC Charges

November 7, 2024