Latest News for: finra

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Disciplinary Action 2024080523501 (ABN AMRO Capital Markets (USA) LLC) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 18 Jan 2026
Financial Industry Regulatory Authority (FINRA) ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC ... Accepted by FINRA.
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Disciplinary Action 2018057331002 (Cetera Advisors LLC, Cetera Wealth Services, LLC (fka Cetera Advisor Networks LLC, Cetera Investment Services LLC) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 18 Jan 2026
Financial Industry Regulatory Authority (FINRA) ... Respondents may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC ... Accepted by FINRA..
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Disciplinary Action 202207518590 (Keith Charles Moore - Sutter Securities Incorporated, Boustead Securities, LLC) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 18 Jan 2026
By virtue of this misconduct, Boustead, Sutter, and Moore violated FINRA Rules 3310(a), 3310(f), and 2010 ... By virtue of this misconduct, Boustead and Sutter violated FINRA Rules 3110(a) and 2010 ... Boustead has been a FINRA member since January 2007.
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Treasury/ORF Port Disconnects After System Open (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 16 Jan 2026
FINRA is aware of the disconnect issues affecting Treasury and ORF ports following system open ... FINRA - ...
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Siebert Williams Shank’s DiAnne Calabrisotto Awarded New York Seat on FINRA’s Small Firm

Caledonian Record 16 Jan 2026
... (FINRA) Small Firm Advisory Committee ....
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Upcoming Trade Reporting Enhancements for Fractional Share Transactions (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 14 Jan 2026
FINRA is reminding firms of upcoming updates to its equity trade reporting guidance in connection with enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities ... ▶ FINRA Rule 6282 ... FINRA.
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Monthly Disciplinary Actions January 2026 (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 14 Jan 2026
Search for FINRA Disciplinary Actions ... The filing triggered FINRA's investigation, and FINRA requested that Fetherston identify and provide certain information about medical expenses he purportedly paid with the funds from the three checks.
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James Lukezic, Managing Principal of Old Slip Capital Management, Inc., Exonerated in FINRA Case

The Kane Republican 13 Jan 2026
12, 2026 /PRNewswire/ -- After extensive hearings before ...
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Disciplinary Action 2025086101601 (Jay D. Zornes) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 13 Jan 2026
Zornes refused to provide information and documents requested by FINRA pursuant to FINRA Rule 8210 in connection with a FINRA investigation into whether he used unapproved channels to communicate with Cambridge customers ... Accepted by FINRA..
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BrightRock Gold Completes FINRA-Approved Name, Ticker and CUSIP Change to North America Lithium and Gold ...

The Galveston Daily News 12 Jan 2026
(OTCID.BRGC) is pleased to announce that the Financial ...
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Disciplinary Action 2021069219701 (BNP Paribas Securities Corp.) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 12 Jan 2026
Financial Industry Regulatory Authority (FINRA) ... options exchanges and FINRA ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC.
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Disciplinary Action 2025085776501 (Eduardo Leon) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 10 Jan 2026
Financial Industry Regulatory Authority (FINRA) ... Pursuant to FINRA Rule 9216, Respondent Eduardo Leon submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose ofproposing a settlement of the alleged rule violations described below.
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Disciplinary Action 2024080120101 (BNY Mellon Capital Markets, LLC) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 10 Jan 2026
Financial Industry Regulatory Authority (FINRA) ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC ... Accepted by FINRA. ... Counsel FINRA.
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FINRA Updates the OTC Equities High Price Dissemination List (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 09 Jan 2026
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2025 ... FINRA reviews trading activity quarterly to determine whether additional OTC equity securities meet the stated dissemination criteria.
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Holiday Reminder Regarding FINRA Market Transparency Reporting Systems (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 09 Jan 2026
Day, FINRA's Market Transparency Reporting Systems will be closed on Monday, January 19, 2026 ... As stated in the data feed interface specifications, FINRA may send out unmarked test data via its data feeds on market holidays.

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