FINRA outlined failure to implement effective supervisory and surveillance practices for trading and business communications recordkeeping.
Julie DiMauro4 min read
Disciplinary decisions issued May 31 – June 6, 2025.
Thomas Hyrkiel2 min read
Disciplinary decisions issued May 3 – 9, 2025.
Thomas Hyrkiel3 min read
Public interest and investor protection cited as reasons to more closely align ongoing membership obligations by firms settling at different times.
Thomas Hyrkiel, Julie DiMauro4 min read
Disciplinary decisions issued March 1 – 7, 2025.
Thomas Hyrkiel5 min read
Disciplinary decisions issued February 1 – 7, 2025.
Thomas Hyrkiel1 min read
Disciplinary decisions issued January 18 – 24, 2025.
Thomas Hyrkiel2 min read
Alleged violations include blue sheet filing, identity theft, and suspicious activity reporting, including a 2021 data breach that exposed customers’ data.
Julie DiMauro2 min read