FINRA disciplinary action update 2026/3
Disciplinary decisions issued January 24 – 30, 2026.
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Former products principal barred for allegedly refusing to produce documents
FINRA Rule 2010FINRA Rule 8210TPEG Securities censured and fined for alleged compliance shortcomings connected with communications with the public
The firm sent communications that included aggregated sponsor performance metrics, which, according to FINRA, masked “the performance of the individual
31 U.S.C. § 5311, Compliance, Disciplinary action, Enforcement, Finance, FINRA, FINRA By-Laws Article V, FINRA IM-13000, FINRA Rule 2010, FINRA Rule 2210, FINRA Rule 2241, FINRA Rule 3110, FINRA Rule 3260, FINRA Rule 4511, FINRA Rule 4530, FINRA Rule 8210, Industry, MSRB Rule G-27, SEA 1934 Rule 15l-1, SEA 1934 Rule 17a-4, SEC Reg BI, US Bank Secrecy Act, US Content