Disciplinary decisions issued January 1 – 16, 2026.
FINRA Rule 2360
Disciplinary decisions issued December 6 – 12, 2025.
Disciplinary decisions issued November 22 – 28, 2025.
Disciplinary decisions issued November 15 – 21, 2025.
Disciplinary decisions issued October 25 – 31, 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 August 23 – 29, 2025.
Disciplinary decisions issued August 16 – 22, 2025.