Dual Registration Hits Majority Among FINRA Reps in 2026 Snapshot

June 1, 2026

FINRA Orders Cambridge to Pay $280K Over Seven-Year Supervisory Lapse

April 6, 2026

AltsWire’s Top 10 Stories of 2022

January 2, 2023

Cove Capital Names Vice President and Head of Wholesale Distribution

August 3, 2022

SEC Obtains Judgment Against Former Transamerica Broker Accused of Defrauding Investors

March 24, 2022

FINRA Fines Securities America for Violating Customer Privacy

February 25, 2021

FINRA Suspends Two Former Transamerica Reps for Designating Themselves as VA Beneficiaries

February 18, 2021

Hilltop Securities Independent Network Changes Name

February 2, 2021

FINRA Bars Broker Accused of Referring Investors to Half-Brother’s Ponzi Schemes

January 29, 2021

Kestra Financial Names Former eMoney Exec as President

July 22, 2020

FINRA Fines Cadaret Grant $200,000 Over Rep’s Alleged Ponzi Scheme

July 8, 2020

FINRA Suspends and Fines Former LPL Broker for Improper REIT Sales

May 8, 2020

FINRA Fines Kestra for Violating Customer Privacy

April 30, 2020

FINRA Sanctions Broker for Using WhatsApp to Text Overseas Clients

February 27, 2020

SEC Obtains Judgment Against Former Adviser Charged with Defrauding Retirees

February 21, 2020

FINRA Bars Former LPL Broker for Refusing to Participate in Investigation

October 22, 2019

SEC Charges Adviser for Defrauding Two Retail Investors in Oversees Investment Scam

August 14, 2019

FINRA Bars Former Pruco Broker for Forging VA Applications to Meet Production Minimum

August 8, 2019

SEC Charges Commonwealth with Failing to Disclose Conflicts on Revenue Sharing

August 2, 2019

FINRA Bars Raymond James Compliance Associate for Doctoring Branch Audit Forms

July 9, 2019