FINRA Fines Boston Firm $20K Over Private Placement Filing Lapses

October 6, 2025

Former Florida Broker Pleads Guilty to $7.4M Investor and PPP Fraud Scheme

October 6, 2025

FINRA Fines Velocity Clearing $1 Million for Lapses in Manipulative-Trading Surveillance

October 2, 2025

Merrill Lynch Ordered to Pay $3.6M Over Alts Feeder Funds’ ‘Layers of Fees’

July 8, 2025

Goldman Sachs Fined $1.45 Million for Billions of Misreported Trades

May 16, 2025

Ex-Rep of Expelled Firm Suspended for Deceptive Marketing and Pandemic Fraud

March 24, 2025

FINRA Fines Former Wells Fargo Rep for Unauthorized Transaction Involving Client With Dementia

March 20, 2025

Stifel on Wrong Side of One of the Largest Damages Awards in FINRA Arbitration History

March 16, 2025

FINRA Fines UBS $1.1 Million for Trade Confirmation Rules Violations

January 1, 2025

Barclays Capital Fined $1 Million for Net Capital Rules Violations

January 1, 2025

No Free Lunch: FINRA Fines Broker for Improper Meal Expenses

December 30, 2024

Interactive Brokers Fined $2.25 Million for Free-Riding Violations

December 30, 2024

Former Broker Refuses to Comply with FINRA Requests, Barred for Alleged Misconduct

December 30, 2024

J.P. Morgan Securities to Pay $3 Million for Short Interest Reporting Violations

December 25, 2024

FINRA Hits UBS With Nearly $3.5M Penalty for Unsuitable Short-Term Trading of Syndicate Preferred Stocks

December 19, 2024

Moomoo Financial Fined $750,000 for Misleading Social Media Marketing

December 2, 2024

FINRA Fines MML $700K for Supervisory Failures Related to Consolidated Reports

November 21, 2024

Drexel Hamilton, Reps Sanctioned $1.2M Total for Manipulating Municipal Bond Offerings

November 20, 2024

FINRA Seeks to Raise Financial Member Fees in 2025

November 14, 2024

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

November 6, 2024