FINRA Rule 4530
-
FINRA disciplinary action update 2025/16
Disciplinary decisions issued April 26 – May 2, 2025.
-
FINRA disciplinary action update 2025/13
Disciplinary decisions issued March 29 – April 4, 2025.
-
FINRA disciplinary action update 2024/34
Disciplinary decisions issued August 24 – 30, 2024.
-
FINRA disciplinary action update 2024/26
Disciplinary decisions issued June 29 – July 5, 2024.
-
As Wells Fargo fires employees for mouse movers, let’s talk about surveillance
A recent FINRA filing indicates that the bank recently terminated some employees for simulating mouse movements at their PCs.
-
FINRA disciplinary action update 2024/19
Disciplinary decisions issued May 11 – 17, 2024.
-
One-person compliance dept leads to $500,000 fine for online brokerage
Webull fined by Massachusetts regulators for inadequate compliance handling hundreds of thousands of brokerage accounts.
-
FINRA disciplinary action update #3
Disciplinary decisions issued March 3 – 9, 2023.