Recordkeeping fines and actions
A list of the institutions fined for recordkeeping failures involving at least some combination of texts, WhatsApp messages, and audio files, if not other communications formats, since September 2020.
16 firms agree to settle charges for off-channel comms recordkeeping lapses
More fines have been issued by the SEC for failure to preserve electronic communications.
Eleven firms fined $711m for "evasive communications" practices
The CFTC has fined 11 Wall Street firms $711m for recordkeeping failures. Violations “well known” within firms.
Disciplinary decisions issued August 1 – 21, 2026.
Disciplinary decisions issued July 4 – 31, 2026.
A security checklist for regulated Industries.
Disciplinary decisions issued January 31 – February 6, 2026.
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.
FINRA's complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.
Disciplinary decisions issued January 1 – 16, 2026.
