Disciplinary decisions issued June 12 – 26, 2026.
FINRA Rule 3110
Disciplinary decisions issued February 7 – 20, 2026.
Disciplinary decisions issued January 31 – February 6, 2026.
FINRA and the NYSE said the firm used unreasonable surveillance parameters to flag potential manipulative trading activity.
FINRA noted the case involved "at least 3,560 text messages" about firm business, including sensitive personal information and investment advice.
Disciplinary decisions issued January 24 – 30, 2026.
FINRA's Mark Ruppert detailed in his blog post some ways firms can evaluate their particular agentic AI strategies and associated risks.
Disciplinary decisions issued January 17 – 23, 2026.