Disciplinary decisions issued January 1 – 16, 2026.
SEA 1934 Rule 17a-3
Disciplinary decisions issued December 13 – 19, 2025.
Disciplinary decisions issued November 29 – December 5, 2025.
Disciplinary decisions issued November 1 – 7, 2025.
FINRA said First Trust provided gifts, meals and entertainment to representatives of retail broker-dealers that significantly exceeded limits for non-cash compensation.
Disciplinary decisions issued October 18 – 24, 2025.
Disciplinary decisions issued October 11 – 17, 2025.
“…in more recent years [the SEC] was not grounded in precedent [or] predictability. It would shoot first and then ask questions later,” Atkins said.