Law and Order – June 2025
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to its online database. FINRA also posts a monthly summary of these actions. (Reader's Digest it is not, but that is not the point.) Setting aside whether one agrees with...
FINRA’s April 2022 Disciplinary and Other Actions
As noted recently, FINRA’s monthly publication of its Disciplinary and Other FINRA Actions offers various insight and teaching moments. April’s lesson for the broker-dealer industry: Ignore FINRA at your peril.
FINRA Bars for Reps for Failing to Respond Accurately . . . or At All
FINRA barred 6 individuals for violations of...
FINRA’s April 2022 Disciplinary and Other Actions Continue reading…
FINRA’s March Disciplinary Actions
Industry participants know that FINRA’s monthly posting of its "Disciplinary and Other FINRA Actions" offers insight into its enforcement priorities. One can also say it offers various teaching moments. The March edition is no exception.
Of interest to me was a Letter of Acceptance, Waiver and Consent (AWC) that FINRA accepted from a broker-dealer to...
FINRA’s March Disciplinary Actions Continue reading…