FINRA Fines Cetera $1.1 Million Over Anti-Money Laundering Failures

January 28, 2026

TPEG Fined $175K Over Marketing Materials, Failed Complaint Reporting

January 26, 2026

FINRA Fines Broker-Dealer $100K for Letting Suspended Rep Keep Working

October 30, 2025

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

October 26, 2025

FINRA Fines California Broker-Dealer for Reg BI Violations

October 22, 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 NexPoint Securities $50K for Net Capital, Reporting Violations

October 15, 2025

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

September 18, 2025

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

September 11, 2025

SEC Fines Vanguard, Empower $26 Million for Failure to Disclose Conflicts of Interest

September 1, 2025

FINRA Fines Stifel, Nicolaus & Co. for Inaccurate Investor Order Reports

August 18, 2025

Wells Fargo, LPL Financial Fined $900K Each for Inaccurate Reporting

December 23, 2024

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

September 16, 2024

FINRA Fines Georgia BD for Improper Electronic Communications Management

April 1, 2024