FINRA Fines St. Louis-Based Broker-Dealer $750K Over Texting, Discovery Violations

February 2, 2026

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 Suspends Houston Broker for Unauthorized Loans Following Hurricane Harvey

January 11, 2026

FINRA Suspends Former Osaic Rep for Borrowing Money From Clients

January 5, 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 Meridian Financial RIA $75K for Marketing Rule Violations

September 5, 2025

FINRA Suspends Centaurus Broker for Unsuitable Alts Guidance to Three Clients

August 25, 2025

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

August 18, 2025

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

August 13, 2025

FINRA Sanctions Former IFP Securities Rep for Customer Impersonation

July 25, 2025

RIA Fined $1.75M for Failure to Disclose Conflicts of Interest, Overbilling

July 14, 2025

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

July 8, 2025