Disciplinary decisions issued February 7 – 20, 2026.
SEA 1934 Rule 17a-14
Disciplinary decisions issued December 20 – 31, 2025.
The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.
Disciplinary decisions issued October 18 – 24, 2025.
Disciplinary decisions issued May 24 – 30, 2025.
Disciplinary decisions issued May 3 – 9, 2025.
Disciplinary decisions issued April 19 – 25, 2025.
Disciplinary decisions issued January 1 – 10, 2025.