FINRA Fines Dinosaur Financial $85,000 for Undisclosed Lease Guarantee

May 21, 2026

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

May 15, 2026

FINRA Orders Ameriprise to Pay $1.4M Over Variable Annuity Supervisory Failures

April 7, 2026

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

April 6, 2026

SEC Bars Two Sales Agents for Roles in $112M Royal Bengal Ponzi Scheme

February 26, 2026

FINRA: Taglich Brothers Violates Reg BI, Faces Statutory Disqualification

February 12, 2026

FINRA Suspends Houston Broker for Unauthorized Loans Following Hurricane Harvey

January 11, 2026

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

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

September 18, 2025

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

September 11, 2025

SEC Charges Pennsylvania Man With Helming $770 Million ATM Ponzi Scheme

September 3, 2025

SEC Fines Vanguard, Empower $26 Million for Failure to Disclose Conflicts of Interest

September 1, 2025

SEC Orders Online Lending Platform Founder to Pay $10.6M for Defrauding Investors

August 5, 2025

FINRA Sanctions Former IFP Securities Rep for Customer Impersonation

July 25, 2025