FINRA Regulatory Notice 10-06 – Global Relay Intelligence & Practice

FINRA Regulatory Notice 10-06

Enforcement

FINRA disciplinary action update 2024/46

December 4, 2024

Disciplinary decisions issued November 23 – 29, 2024.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2024/23

June 19, 2024

Disciplinary decisions issued June 8 – 14, 2024.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2024/13

April 12, 2024

Disciplinary decisions issued March 30 – April 5, 2024.

Thomas Hyrkiel2 min read
FINRA

Social media influencer program leads to $850k fine by FINRA

March 20, 2024

Posts by finfluencers paid for by the firm were not balanced and potentially misleading, but resulted in thousands of new accounts being opened.

Julie DiMauro, Thomas Hyrkiel2 min read