Enforcement

FINRA disciplinary action update 2025/2

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January 23, 2025 2 min read

Disciplinary decisions issued January 11 – 17, 2025.

Former securities representative charged with allegedly failing to provide information and documents

FINRA Rule 2010FINRA Rule 8210

Ceros Financial Services censured and fined for allegedly failing to terminate offerings following material changes to the offering terms

The firm served as the private placement agent to raise funds for the issuers’

Compliance, Enforcement, FINRA, FINRA By-Laws Article V, FINRA Rule 1122, FINRA Rule 2010, FINRA Rule 2150, FINRA Rule 3110, FINRA Rule 3210, FINRA Rule 3270, FINRA Rule 3870, FINRA Rule 4511, FINRA Rule 8210, Industry, SEA 1934 Regulation NMS, SEA 1934 Rule 10b-9, SEA 1934 Rule 15l-1, SEA 1934 Rule 611, SEC Reg BI, SEC Reg NMS, SEC Reg NMS Rule 611, US Content

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Disciplinary decisions issued January 17 – 23, 2026.

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Disciplinary decisions issued October 25 – 31, 2025.

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Disciplinary decisions issued February 8 –14, 2025.

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Disciplinary decisions issued July 4 – 31, 2026.

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