In a FINRA First, Apex Clearing Fined $3.2M for Violating Fully Paid Securities Lending Program

February 4, 2025

FINRA Fines Freeloading Rep for Improper Travel and Meal Expenses

January 27, 2025

Blackstone, Apollo, KKR, and Schwab Among 12 Firms to Pay $63M Combined for Electronic Recordkeeping Failures

January 13, 2025

Robinhood B-Ds to Pay $45M in Combined Penalties for 10 Separate Securities Law Violations

January 13, 2025

FINRA Fines Frazer Lanier $125K for Political Contribution Violations

January 8, 2025

Wells Fargo, LPL Financial Fined $900K Each for Inaccurate Reporting

December 23, 2024

Moomoo Financial Fined $750,000 for Misleading Social Media Marketing

December 2, 2024

Drexel Hamilton, Reps Sanctioned $1.2M Total for Manipulating Municipal Bond Offerings

November 20, 2024

TD Securities Ordered to Pay $28 Million in Spoofing Settlements

October 2, 2024

Atom Investors RIA Escapes Penalty in SEC Off-Channel Recordkeeping Case

September 25, 2024

SEC Settles Charges Against Nine RIAs for Marketing Rule Violations

September 10, 2024

SEC Slaps Credit Rating Agencies With Fines Totaling $49 Million in Ongoing Crackdown on Private Electronic Communications

September 4, 2024

FINRA Fines NY-Based Broker-Dealer $225,000 for Anti-Money Laundering Lapses

August 19, 2024

Ameriprise, Edward Jones, and LPL Among 26 Firms Fined More Than $390 Million by SEC for Recordkeeping Failures

August 15, 2024

FINRA Fines Lincoln Financial for Indirect Payments to Unregistered Entity

July 16, 2024

FINRA Orders Merrill Lynch to Pay Nearly $1.5 Million in Restitution for Supervisory Failures

July 5, 2024

SEC Charges New York-Based RIA and Founder for Violating Fiduciary Duties

May 15, 2024

FINRA Fines Georgia BD for Improper Electronic Communications Management

April 1, 2024

FINRA Fines LPL Nearly $2.8 Million for Complaint Reporting Violations and AML Program Failures

October 31, 2018