FINRA Suspends Spartan Capital Broker Over Reg BI Violation

August 28, 2026

FINRA Hits WestPark Capital With $175K Fine, $345K Restitution Over GWG L Bond Sales

June 19, 2026

FINRA Launches Sweep of Worst-of Structured Note Sales Practices

May 20, 2026

Cape Securities Ordered to Pay $145K in Restitution Over GWG L Bond Sales

May 15, 2026

Cambridge Pays $389K Restitution, $200K FINRA Fine in Reg BI UIT Case

May 4, 2026

FINRA Suspends Investment Banking Rep for Unregistered Private Placement Sales

April 14, 2026

FINRA Disciplines Cape Securities Adviser Over Unsuitable GWG L Bond Sales

April 10, 2026

FINRA Suspends Former CCO Over Supervisory Failures involving GWG L Bonds

March 10, 2026

FINRA Fines California Broker-Dealer for Reg BI Violations

October 22, 2025

FINRA Sanctions LPL Rep for Guiding 95-Year-Old Client to Unsuitable Investments

August 13, 2025

FINRA Sanctions Ex-Kingswood Adviser Over GWG L Bond Recommendations

May 19, 2025

NASAA Members Adopt Conduct Rule Amendments to More Align With Reg BI

April 7, 2025

NASAA Seeks Public Comment on Latest Proposed Revisions to Non-Traded REIT Guidelines

March 31, 2025

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

March 9, 2025

Navigating the Regulatory Patchwork: Lessons for Financial Advisers

February 25, 2025

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

January 28, 2025

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

January 9, 2025

Former Western International Broker Settles SEC Charges for $2.1 Million

December 11, 2024

Navigating New Regulations: How Financial Advisers Can Prepare for Upcoming Compliance Challenges

November 19, 2024

SEC Charges Broker-Dealer First Horizon With Reg BI Violations

September 23, 2024