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FINRA Rule 4530
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FINRA disciplinary action update 2024/34
Disciplinary decisions issued August 24 – 30, 2024.
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FINRA disciplinary action update 2024/26
Disciplinary decisions issued June 29 – July 5, 2024.
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As Wells Fargo fires employees for mouse movers, let’s talk about surveillance
A recent FINRA filing indicates that the bank recently terminated some employees for simulating mouse movements at their PCs.
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FINRA disciplinary action update 2024/19
Disciplinary decisions issued May 11 – 17, 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 #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.