FINRA Rule 3110
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FINRA disciplinary action update 2025/33
Disciplinary decisions issued August 30 – September 12, 2025.
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Synapse Brokerage CEO and CCO charged with misconduct by FINRA
Key alleged shortcomings include unreasonable supervision as well as failing to maintain books and records.
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FINRA disciplinary action update 2025/32
Disciplinary decisions issued August 23 – 29, 2025.
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FINRA disciplinary action update 2025/31
Disciplinary decisions issued August 16 – 22, 2025.
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FINRA disciplinary action update 2025/30
Disciplinary decisions issued August 9 – 15, 2025.
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FINRA disciplinary action update 2025/29
Disciplinary decisions issued July 26 – August 8, 2025.
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FINRA disciplinary action update 2025/28
Disciplinary decisions issued July 19 – 25, 2025.
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FINRA disciplinary action update 2025/26
Disciplinary decisions issued July 5 – 11, 2025.