After the Onboarding: The Importance of Ongoing Sponsor Due Diligence

March 27, 2026

FINRA Fines Broker-Dealer $600K for Off-Channel Communications, Recordkeeping Failures

March 26, 2026

FINRA Fines Stash Capital $450K for AML, Identity Theft Program Failures

March 23, 2026

FINRA Returns $100 Million in Regulatory Fees to Member Firms

March 19, 2026

FINRA Charges Spartan Capital, CEO and CCO With Fraud Tied to Private Placements and IPO

March 19, 2026

FINRA Fines Arcadia Securities $40,000 Over Net Capital Violations

March 14, 2026

FINRA Board Greenlights Five Rule Proposals Under Modernization Initiative

March 12, 2026

FINRA Suspends Former CCO Over Supervisory Failures involving GWG L Bonds

March 10, 2026

FINRA Fines Goldman Sachs-Owned Broker-Dealer $1.3M for Best Execution Failures

February 27, 2026

SEC Approves Tripling Annual Gift Limit to $300

February 18, 2026

A Costly Appetite: Former BofA Rep Suspended Over $6K in Meal Charges

February 16, 2026

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

Osaic’s Triad Advisors Defeats $27M FINRA Arbitration Claim Tied to Ex-Broker

January 21, 2026

FINRA Suspends Houston Broker for Unauthorized Loans Following Hurricane Harvey

January 11, 2026

FINRA Proposes Changes to Combat Fraud and Protect Senior Investors

January 8, 2026

FINRA Appoints Four Industry Leaders to Its Board of Governors

January 7, 2026

FINRA Suspends Former Osaic Rep for Borrowing Money From Clients

January 5, 2026

FINRA OKs Electronic Delivery as the Default, Customer Protection From Financial Exploitation

December 22, 2025