SEA 1934 Rule 17(a)
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FINRA fines Ally Invest $850k for recordkeeping failures
22.6 million business-related e-comms were left unpreserved, and 521,000 messages unreviewed, due to technical and policy failures.
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SEC charges Kiromic BioPharma for failing to disclose FDA holds
Two former executives were fined, but the company itself will not receive a civil penalty due to its self-reporting.
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SEC dings three broker-dealers for deficient SAR narratives
The SEC’s orders allege that the broker-dealers omitted key details in their SAR narratives.
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SEC charges 12 municipal advisers with recordkeeping violations
The charges relate to off-channel communications and related supervisory failures.
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OTC Link LLC to pay $1.19m for failing to file suspicious activity reports
Case brought over failure to file any SARs for over three years.
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FINRA disciplinary action update #38
Disciplinary decisions issued November 10 – 16, 2023.
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FINRA disciplinary action update #35
Disciplinary decisions issued October 20 – 26, 2023.
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FINRA disciplinary action update #30
Disciplinary decisions issued September 15 – 21, 2023.