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FINRA enforcement activity covering September 5 – September 25.
FINRA Rule 2121
Article label: Quick Read
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The investigation was conducted jointly by seven state securities regulators.
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Disciplinary decisions issued March 22 – 28, 2025.
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Disciplinary decisions issued December 14 – 20, 2024.
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Disciplinary decisions issued September 21 – 27, 2024.
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Disciplinary decisions issued July 27 – August 2, 2024.
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Disciplinary decisions issued July 6 – 12, 2024.
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Disciplinary decisions issued June 8 – 14, 2024.