FINRA Rule 2360
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FINRA disciplinary action update 2024/16
Disciplinary decisions issued April 20 – 26, 2024.
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One-person compliance dept leads to $500,000 fine for online brokerage
Webull fined by Massachusetts regulators for inadequate compliance handling hundreds of thousands of brokerage accounts.
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FINRA disciplinary action update #32
Disciplinary decisions issued September 29 – October 5, 2023.
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FINRA disciplinary action update #9
Disciplinary decisions issued April 14 – April 20, 2023.
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FINRA disciplinary action update #3
Disciplinary decisions issued March 3 – 9, 2023.
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Onboarding and complaints issues lead to fine and censure for retail investment firm
Webull Financial LLC allegedly incorrectly approved customers for trading and failed to keep tabs on customer complaints.
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UBS fined for option reporting failures
FINRA fine and censure a result of uncorrected OTC reporting and supervisory failures at UBS spanning over a decade.