In a FINRA First, Apex Clearing Fined $3.2M for Violating Fully Paid Securities Lending Program

February 4, 2025

FINRA Fines Former IBN Rep for Unsuitable Alternative Investment Sales

February 2, 2025

Gen AI, Reg BI Among New Topics in 2025 FINRA Regulatory Oversight Report

January 28, 2025

FINRA Fines Freeloading Rep for Improper Travel and Meal Expenses

January 27, 2025

FINRA Sanctions Newbridge Securities Again, This Time for Margin Practices

January 13, 2025

FINRA Fines CIM Securities $70,000 for Multiple Securities Violations

January 9, 2025

FINRA Fines Frazer Lanier $125K for Political Contribution Violations

January 8, 2025

FINRA Fines UBS $1.1 Million for Trade Confirmation Rules Violations

January 1, 2025

Barclays Capital Fined $1 Million for Net Capital Rules Violations

January 1, 2025

No Free Lunch: FINRA Fines Broker for Improper Meal Expenses

December 30, 2024

Interactive Brokers Fined $2.25 Million for Free-Riding Violations

December 30, 2024

Former Broker Refuses to Comply with FINRA Requests, Barred for Alleged Misconduct

December 30, 2024

J.P. Morgan Securities to Pay $3 Million for Short Interest Reporting Violations

December 25, 2024

Wells Fargo, LPL Financial Fined $900K Each for Inaccurate Reporting

December 23, 2024

FINRA Hits UBS With Nearly $3.5M Penalty for Unsuitable Short-Term Trading of Syndicate Preferred Stocks

December 19, 2024

Moomoo Financial Fined $750,000 for Misleading Social Media Marketing

December 2, 2024

FINRA Fines MML $700K for Supervisory Failures Related to Consolidated Reports

November 21, 2024

Drexel Hamilton, Reps Sanctioned $1.2M Total for Manipulating Municipal Bond Offerings

November 20, 2024

FINRA Seeks to Raise Financial Member Fees in 2025

November 14, 2024

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

November 6, 2024