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FINRA disciplinary action update 2026/4
Disciplinary decisions issued January 31 – February 6, 2026.
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Instinet dinged for surveillance lapses over potential manipulative trading
FINRA and the NYSE said the firm used unreasonable surveillance parameters to flag potential manipulative trading activity.
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FINRA fines Benjamin Edwards $750k for ecomms recordkeeping failures
FINRA noted the case involved “at least 3,560 text messages” about firm business, including sensitive personal information and investment advice.
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FINRA disciplinary action update 2026/3
Disciplinary decisions issued January 24 – 30, 2026.
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FINRA outlines recommendations for the use of AI tools
FINRA’s Mark Ruppert detailed in his blog post some ways firms can evaluate their particular agentic AI strategies and associated risks.
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FINRA disciplinary action update 2026/2
Disciplinary decisions issued January 17 – 23, 2026.
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FINRA files complaint against firm for AML, ecomms recordkeeping and more
FINRA’s complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.
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FINRA disciplinary action update 2026/1
Disciplinary decisions issued January 1 – 16, 2026.