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

Financial Deregulation: A False Sense of Securities

June 14, 2025

Dead Wrong: FINRA Fines Broker Over Undisclosed $1 Million Bequest

May 22, 2025

FINRA Sanctions Ex-Kingswood Adviser Over GWG L Bond Recommendations

May 19, 2025

Interactive Brokers Fined $400K for Decade-Long Reporting Failures

May 1, 2025

FINRA Fines Frazer Lanier $125K for Political Contribution Violations

January 8, 2025

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

November 6, 2024

TD Securities Ordered to Pay $28 Million in Spoofing Settlements

October 2, 2024

Merrill Lynch and BofA Securities Fined $3 Million for Supervisory Lapses Related to Manipulative Trading Activities

August 30, 2024

FINRA Fines Pershing $1.4 Million for Inaccurate Interest Rate Reporting

August 2, 2024

LPL Financial Reaches $50 Million Settlement With SEC for Off-Channel Communications

May 2, 2024

FINRA Fines RBC Capital Markets Nearly $800K for Inaccurate Trade Confirmations

May 1, 2024

FINRA Fines Morgan Stanley $1.6 Million for Municipal Securities Violations and Related Failures

February 16, 2024

Equitable Financial to Pay $50 Million to Settle SEC’s Fraud Charges

July 22, 2022

Schwab Subsidiaries to Pay $187 Million for Misleading Robo-Adviser Clients

June 14, 2022

SEC Fines Two Kestra RIAs for Undisclosed Revenue Sharing Conflicts

July 12, 2021

FINRA Suspends and Fines Former Broker for Borrowing Money from Client

December 14, 2020