FSI Letter Urges SEC to Reform Enforcement Practices, Citing ‘Regulation by Enforcement’ Risks

November 11, 2025

Advocates Urge Congress to Protect State Regulators’ Ability to Fight Fraud

November 4, 2025

FINRA Fines First Trust $10M for Exceeding Gift Limits, Falsifying Records

November 3, 2025

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

SIFMA Urges SEC to Modernize Off-Channel Communications Rules

October 21, 2025

FINRA Fines N.Y. Brokerage $275K Over Inaccurate Books and Registration Failures

October 20, 2025

SEC Chair Announces ‘Wells Process’ Reforms, Expanding Disclosure and Response Rights

October 19, 2025

FINRA Fines NexPoint Securities $50K for Net Capital, Reporting Violations

October 15, 2025

SEC Charges Pennsylvania Man With Helming $770 Million ATM Ponzi Scheme

September 3, 2025

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

September 1, 2025

SEC Names Judge Margaret Ryan as Division of Enforcement Director

August 21, 2025

FINRA Sanctions LPL Rep for Guiding 95-Year-Old Client to Unsuitable Investments

August 13, 2025

Ex-LPL Broker Sentenced to Six Years for Defrauding Elderly Client

July 31, 2025

Ex-Adviser Charged With Defrauding Venezuelans, Others in $94M Ponzi Scheme

July 28, 2025

FINRA Sanctions Former IFP Securities Rep for Customer Impersonation

July 25, 2025

Financial Deregulation: A False Sense of Securities

June 14, 2025

Ex-Raymond James Rep Fined for Unauthorized Trades and $120K Client Gift

April 9, 2025

Navigating the Regulatory Patchwork: Lessons for Financial Advisers

February 25, 2025