FINRA Rule 3010 – Global Relay Intelligence & Practice

FINRA Rule 3010

Enforcement

FINRA disciplinary action update 2025/43

December 1, 2025

Disciplinary decisions issued November 15 – 21, 2025.

Thomas Hyrkiel4 min read
Enforcement

FINRA disciplinary action update 2025/33

September 15, 2025

Disciplinary decisions issued August 30 – September 12, 2025.

Thomas Hyrkiel2 min read
Enforcement

Broker settles with FINRA for unsuitable recommendations involving REITs, BDCs

August 28, 2025

The SRO’s action directed toward an individual aligns with the Trump Administration’s focus on individual bad actors and not their employers, when possible.

Julie DiMauro4 min read
Enforcement

FINRA disciplinary action update 2025/8

March 4, 2025

Disciplinary decisions issued February 22 – 28, 2025.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update 2024/50

January 6, 2025

Disciplinary decisions issued December 21 – 31, 2024.

Thomas Hyrkiel4 min read
Enforcement

FINRA disciplinary action update #40

December 11, 2023

Disciplinary decisions issued November 24 – 30, 2023.

Thomas Hyrkiel3 min read
Enforcement

FINRA disciplinary action update #38

November 23, 2023

Disciplinary decisions issued November 10 – 16, 2023.

Thomas Hyrkiel3 min read
Enforcement

FINRA disciplinary action update #9

April 25, 2023

Disciplinary decisions issued April 14 – April 20, 2023.

Thomas Hyrkiel3 min read