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FINRA disciplinary action update 2026/4
Disciplinary decisions issued January 31 – February 6, 2026.
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On the eve of Valentine’s Day, regulators warn of romance-driven scams
As Valentine’s Day approaches, several US regulators are confronting a costly form of fraud.
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Instinet dinged for surveillance lapses over potential manipulative trading
FINRA and the NYSE said the firm used unreasonable surveillance parameters to flag potential manipulative trading activity.
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FINRA fines Benjamin Edwards $750k for ecomms recordkeeping failures
FINRA noted the case involved "at least 3,560 text messages" about firm business, including sensitive personal information and investment advice.
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FINRA disciplinary action update 2026/3
Disciplinary decisions issued January 24 – 30, 2026.
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FINRA outlines recommendations for the use of AI tools
FINRA's Mark Ruppert detailed in his blog post some ways firms can evaluate their particular agentic AI strategies and associated risks.
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FINRA disciplinary action update 2026/2
Disciplinary decisions issued January 17 – 23, 2026.
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Guidance Note 1 – FINRA Rule 6730
Late reporting to TRACE.