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FINRA Rule 2010
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FINRA disciplinary action update 2025/33
Disciplinary decisions issued August 30 – September 12, 2025.
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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 2025/31
Disciplinary decisions issued August 16 – 22, 2025.
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FINRA disciplinary action update 2025/30
Disciplinary decisions issued August 9 – 15, 2025.
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FINRA sues broker at center of investor complaints, cites failure to testify
Registered rep failed to respond to two FINRA staff requests to provide information and documents, and another two requests to appear for on-the record testimony.
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FINRA disciplinary action update 2025/29
Disciplinary decisions issued July 26 – August 8, 2025.
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FINRA cites ex-Schwab rep for hiding profit-sharing agreement on unapproved comms
Rep allegedly exchanged thousands of text messages and emails with customer he had a profit-sharing agreement with, using personal mobile device.