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Disciplinary decisions issued June 8 – 14, 2024.
Suit follows refusal by the SEC to disclose its enforcement records in response to a FOIA request.
Disciplinary decisions issued May 18 – 24, 2024.
Disciplinary decisions issued April 20 – 26, 2024.
Disciplinary decisions issued March 30 – April 5, 2024.
Disciplinary decisions issued March 23 – 29, 2024.
FINRA has censured and fined H2C Securities $250k for failing to preserve and review over 1.25 million business-related electronic communications.
Disciplinary decisions issued March 9 – 15, 2024.