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

Morgan Stanley Fined $400,000 for Trade Confirmation Disclosure Failures

August 16, 2024

FINRA Fines Pershing $1.4 Million for Inaccurate Interest Rate Reporting

August 2, 2024

FINRA Fines Lincoln Financial for Indirect Payments to Unregistered Entity

July 16, 2024