Disciplinary decisions issued June 12 – 26, 2026.
Overview
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Recommendations include new overarching enforcement principles, closer CEO involvement, changes to due process, and tighter engagement with regulated member firms.
Disciplinary decisions issued February 7 – 20, 2026.
Disciplinary decisions issued January 31 – February 6, 2026.
FINRA and the NYSE said the firm used unreasonable surveillance parameters to flag potential manipulative trading activity.
FINRA noted the case involved "at least 3,560 text messages" about firm business, including sensitive personal information and investment advice.
Disciplinary decisions issued January 24 – 30, 2026.
Disciplinary decisions issued January 17 – 23, 2026.