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FINRA disciplinary action update 2026/26

Montage of person walking by the FINRA sign.
GRIP Montage: Getty Images

Thomas Hyrkiel

2 min read

FINRA enforcement activity covering August 22 – September 4.

Securities representative suspended for alleged Reg BI violations

The representative excessively traded the account of a retail customer.

FINRA Rule 2010SEA 1934 Rule 15l-1SEC Reg BI

Moors & Cabot censured and fined for alleged AML program failings

The firm’s AML program was not reasonably designed to ensure the detection and

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