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