Disciplinary decisions issued June 12 – 26, 2026.
FINRA Rule 2020
Disciplinary decisions issued December 13 – 19, 2025.
Positions must be reported to the LOPR system no later than the close of business on the next day following the day on which the pertinent transaction occurred.
Disciplinary decisions issued November 17 – 23, 2023.
Disciplinary decisions issued October 13 – 19, 2023.
Disciplinary decisions issued May 19 – May 25, 2023.
Disciplinary decisions issued May 12 – May 18, 2023.