FINRA Reg Notice 10-06
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FINRA disciplinary action update 2025/20
Disciplinary decisions issued May 24 – 30, 2025.
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FINRA disciplinary action update 2025/17
Disciplinary decisions issued May 3 – 9, 2025.
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FINRA disciplinary action update 2025/3
Disciplinary decisions issued January 18 – 24, 2025.
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FINRA disciplinary action update 2024/46
Disciplinary decisions issued November 23 – 29, 2024.
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FINRA disciplinary action update 2024/23
Disciplinary decisions issued June 8 – 14, 2024.
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FINRA disciplinary action update 2024/13
Disciplinary decisions issued March 30 – April 5, 2024.
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Social media influencer program leads to $850k fine by FINRA
Posts by finfluencers paid for by the firm were not balanced and potentially misleading, but resulted in thousands of new accounts being opened.