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

FINRA Fines Concorde $130,000+ for Unsuitable GPB Capital Sales

November 6, 2024

FINRA Fines Morgan Stanley $1 Million for Market Access Violations

November 5, 2024

FINRA’s Metaverse Report Highlights Potential Challenges, Opportunities for Securities Industry

November 1, 2024

Broker-Dealer Fenix Fined $250K for Anti-Money Laundering and Registration Violations

October 23, 2024

FINRA Fines Broker-Dealer and CEO for Misleading Investors

October 18, 2024

TD Securities Ordered to Pay $28 Million in Spoofing Settlements

October 2, 2024

SEC Levies Over $88 Million in Combined Fines to 11 Firms for Recordkeeping Failures

September 25, 2024

Atom Investors RIA Escapes Penalty in SEC Off-Channel Recordkeeping Case

September 25, 2024

FINRA Fines Wedbush More Than $550K in Separate Incidents

September 23, 2024

SEC Takes First Enforcement Action Against Multiple Entities in Relationship Investment Scams

September 19, 2024

FINRA Sanctions Wells Fargo Clearing Services Nearly $3 Million for Short-Term Trading Abuses

September 16, 2024

Ex-BofA Pair With $700 Million in Assets Joins LPL to Launch BrookBridge Private Wealth

September 11, 2024

Odeon Capital Group Fined $250K for Supervisory Lapses in SPAC Offerings

September 11, 2024

FINRA Sanctions Newbridge Securities Again for Lax Protocols, Supervisory Lapses

September 9, 2024

Colony Capital Investment Advisors Fined $350K for Undisclosed Affiliate Deals

September 5, 2024

Merrill Lynch and BofA Securities Fined $3 Million for Supervisory Lapses Related to Manipulative Trading Activities

August 30, 2024

FINRA Fines NY-Based Broker-Dealer $225,000 for Anti-Money Laundering Lapses

August 19, 2024