FINRA
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FINRA disciplinary action update 2025/11
Disciplinary decisions issued March 15 – 21, 2025.
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FINRA disciplinary action update 2025/10
Disciplinary decisions issued March 8 – 14, 2025.
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FINRA disciplinary action update 2025/9
Disciplinary decisions issued March 1 – 7, 2025.
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FINRA fines Robinhood $26m for over a dozen rules violations
Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.
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SEC sustains most NYSE judgments against Lek Securities Corporation
LSC argued that the NYSE’s monetary penalties were excessive, and judgments related to faulty supervision were redundant.
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UBS held liable for losses stemming from Tesla short-selling recommendations
Independent arbitration panel awards $92.2m in damages to investors.
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FINRA disciplinary action update 2025/8
Disciplinary decisions issued February 22 – 28, 2025.
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FINRA disciplinary action update 2025/7
Disciplinary decisions issued February 15 –21, 2025.