New FINRA Report Warns of Gen AI, Cyber Fraud, and Vendor Risk Exposure

December 9, 2025

FINRA Fines First Trust $10M for Exceeding Gift Limits, Falsifying Records

November 3, 2025

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

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

Investment Firm Alleges Kingswood Hijacked $10M Adviser Compensation

September 29, 2025

FINRA Files to Triple Gift Limit for Brokers to $300

September 24, 2025

Oak Hill Securities Fined $125K for Violations in Handling Private Placements

September 18, 2025

FINRA Launches Program to Boost Crypto and Blockchain Literacy

September 17, 2025

FINRA: Ex-Brokerage Employee Fails SIE Exam, Despite Cheating

September 11, 2025

Jefferies Fined $1M by FINRA for Customer Protection Rule Violations

September 11, 2025

FINRA to Streamline Delivery of Required Information Via System Enhancements

August 27, 2025

FINRA Suspends Centaurus Broker for Unsuitable Alts Guidance to Three Clients

August 25, 2025

FINRA Board Elects Large Firm, Small Firm Governor Members

August 20, 2025