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FINRA Rule 2010
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FINRA disciplinary action update 2024/33
Disciplinary decisions issued August 17 – 23, 2024.
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FINRA settles with Barclays Capital over fingerprinting, screening issues
FINRA alleges the firm did not fingerprint and properly screen non-registered associated persons based in foreign locations as required by its rules.
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FINRA disciplinary action update 2024/32
Disciplinary decisions issued August 10 – 16, 2024.
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FINRA disciplinary action update 2024/31
Disciplinary decisions issued August 3 – 9, 2024.
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FINRA disciplinary action update 2024/29
Disciplinary decisions issued July 20 – 26, 2024.
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FINRA disciplinary action update 2024/28
Disciplinary decisions issued July 13 – 19, 2024.
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FINRA sanctions PFS Investments for failure to obtain written notice of outside business activity
Action arises from an anonymous complaint about the OBA’s advertising.
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FINRA disciplinary action update 2024/27
Disciplinary decisions issued July 6 – 12, 2024.