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FINRA Rule 2010
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FINRA disciplinary action update 2026/4
Disciplinary decisions issued January 31 – February 6, 2026.
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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 disciplinary action update 2026/2
Disciplinary decisions issued January 17 – 23, 2026.
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FINRA disciplinary action update 2026/1
Disciplinary decisions issued January 1 – 16, 2026.
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FINRA disciplinary action update 2025/48
Disciplinary decisions issued December 20 – 31, 2025.
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Credit Suisse Securities settles with FINRA for trade surveillance lapses
Technology issues and lax supervisory procedures allegedly led to “hundreds of millions” of trade, order and position records being omitted from its surveillance systems.