FINRA Fines Suspended Md.-Based Firm and Its Principal for Chronic Compliance Failures

April 25, 2025

FINRA Initiative Seeks to Update Rules, Improve Compliance, Limit Fraud

April 23, 2025

Former UBS Rep Barred for Borrowing $738K From Clients and Misusing Funds

April 18, 2025

Ex-Raymond James Rep Fined for Unauthorized Trades and $120K Client Gift

April 9, 2025

FINRA Bars Former LPL Rep for Unreported Private Securities Transactions

March 28, 2025

Alpine Securities Expelled by FINRA Amid Federal Court Fight Over Regulator’s Constitutionality

March 26, 2025

Ex-Rep of Expelled Firm Suspended for Deceptive Marketing and Pandemic Fraud

March 24, 2025

The Emoji Challenge: Decoding Digital Intent in Compliance Supervision

March 24, 2025

FINRA Launches Review to Streamline Capital Raising Process

March 20, 2025

FINRA Fines Former Wells Fargo Rep for Unauthorized Transaction Involving Client With Dementia

March 20, 2025

Stifel on Wrong Side of One of the Largest Damages Awards in FINRA Arbitration History

March 16, 2025

Robert W. Baird & Co. to Pay More Than $650K for Reg BI Violations

March 9, 2025

FINRA Censures, Fines Redbridge Securities $475K for AML Non-Compliance

March 9, 2025

Cheater Gets Flushed Out: Ex-J.P. Morgan Rep Hides Phone in Restroom to Cheat on Exam

March 2, 2025

FINRA Accuses Broker of Misusing Corporate Credit Card for Personal Expenses

February 19, 2025

Filing Fees to Start July 1 for Private Placements Seeking to Raise More Than $25M

February 17, 2025

Staying Compliant: Keeping Up With Off-Channel Communications

February 13, 2025

FINRA Fines Smoothie-Tossing Rep $50,000 for Structuring Scheme

February 12, 2025

FINRA Orders Broker to Repay $17M to Ex-Firm to Cover Settlement Payments

February 6, 2025

CNL Healthcare Properties REIT Urges Stockholders to Reject Third-Party Tender Offer

February 5, 2025