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FINRA Fines BD $750k (Recordkeeping & Supervisory Failures)
FINRA Introduction On January 30th, 2026, FINRA fined and censured a Broker Dealer for $750,000 for failing to properly supervise and retain business-related text messages […]
Read MoreReg BI Violations | Broker Suspended
News and Alerts Introduction FINRA has suspended a Broker for 18 months due to violations of Regulation Best Interest (“Reg BI”). These violations were discovered during a FINRA Exam […]
Read MoreFINRA Fines Well Known Brokerage Firm $1.1 Million For Phone Record Failures
News & Alerts Brief Introduction FINRA fined a well known Brokerage Firm in December for failing to properly disclose their record keeping policies and promptly alert FINRA […]
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