Bankruptcy Judge Rejects Claimants’ Bid to Narrow Inspired Healthcare Freeze

October 2, 2026

FINRA Bars Former LPL Rep for Converting $1.73 Million From Two Clients

September 29, 2026

FINRA Outside-Activity Overhaul Spares Private Placement Oversight

September 21, 2026

Creditors’ Committee Demands Bank, Tax Records From Inspired Healthcare’s Former CEO

August 28, 2026

FINRA Suspends Spartan Capital Broker Over Reg BI Violation

August 28, 2026

FINRA Asks SEC to Ease Monthly Reconciliation Rule for Private Funds

August 26, 2026

FINRA Fines Boston Brokerage $125K Over Willful Form CRS Violation

August 26, 2026

Smart Glasses, Dumb Move: FINRA Bars Rep for Cheating His Way Through Series 6

August 20, 2026

FINRA Suspends Two Ex-Columbia Capital Brokers Over $8M Private Fund Sales

August 13, 2026

NASAA Shortens Wait Time for FINRA Series 63, 65, 66 Retests

August 11, 2026

FINRA Broadens IHC Arbitration Stay Beyond Court’s Injunction

August 5, 2026

FinCEN Fines UBS Record $125 Million for Bank Secrecy Act Violations

August 3, 2026

SEC OKs FINRA Amendments Expanding Private Placement Exemptions, Easing REIT and DPP Capital Rules

July 30, 2026

Bankruptcy Court Pauses 100-Plus FINRA Claims Against Inspired Healthcare Broker-Dealers for 120 Days

July 24, 2026

FINRA Censures and Fines Broker-Dealer for Ignoring Red Flags Across Seven Private Placements

July 21, 2026

Judge Defers Ruling to July 22 on Freezing Inspired Healthcare Investor Claims

July 15, 2026

FINRA Proposes Ending Mandatory Pre-Use Review of Retail Communications

July 9, 2026

FINRA Hits WestPark Capital With $175K Fine, $345K Restitution Over GWG L Bond Sales

June 19, 2026

FINRA Issues $125K Fine to Edward Jones for Failing to Report 2.7M Fractional Share Trades

June 16, 2026

Mismatched Compliance Lexicon Led to Thousands of Unreported Complaints at Merrill Lynch, FINRA Finds

June 15, 2026