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

RIA Fined $1.75M for Failure to Disclose Conflicts of Interest, Overbilling

July 14, 2025

Financial Deregulation: A False Sense of Securities

June 14, 2025

SEC Charges Former Adviser With ‘Egregious’ Fraud in Nearly $22 Million Scheme

May 2, 2025

Interactive Brokers Fined $400K for Decade-Long Reporting Failures

May 1, 2025

SEC Charges Investment Adviser With $2.7M Fraud Targeting Korean-American Seniors

May 1, 2025

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

April 25, 2025

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

March 9, 2025

Staying Compliant: Keeping Up With Off-Channel Communications

February 13, 2025

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

February 4, 2025

FINRA Fines Freeloading Rep for Improper Travel and Meal Expenses

January 27, 2025

Blackstone, Apollo, KKR, and Schwab Among 12 Firms to Pay $63M Combined for Electronic Recordkeeping Failures

January 13, 2025

Robinhood B-Ds to Pay $45M in Combined Penalties for 10 Separate Securities Law Violations

January 13, 2025

FINRA Fines Frazer Lanier $125K for Political Contribution Violations

January 8, 2025

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

December 23, 2024

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

December 2, 2024

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

November 20, 2024

TD Securities Ordered to Pay $28 Million in Spoofing Settlements

October 2, 2024