FINRA Reg Notice 09-64
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Synapse Brokerage CEO and CCO charged with misconduct by FINRA
Key alleged shortcomings include unreasonable supervision as well as failing to maintain books and records.
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FINRA disciplinary action update 2025/32
Disciplinary decisions issued August 23 – 29, 2025.
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FINRA disciplinary action update 2025/1
Disciplinary decisions issued January 1 – 10, 2025.
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FINRA disciplinary action update 2024/27
Disciplinary decisions issued July 6 – 12, 2024.
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FINRA disciplinary action update 2024/24
Disciplinary decisions issued June 15 – 21, 2024.
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FINRA disciplinary action update 2024/10
Disciplinary decisions issued March 9 – 15, 2024.
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FINRA disciplinary action update #38
Disciplinary decisions issued November 10 – 16, 2023.