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2024-09-03: FINRA’s 2024 Regulatory Oversight
2023-10-24: SEC DIVISION OF EXAMINATIONS ANNOUNCES 2024 EXAM PRIORITIES
2022-12-16: FINRA FINES AND SUSPENDS REGISTERED REPRESENTATIVE FOR FACEBOOK POSTS
2022-11-10: FINRA PROVIDES GUIDANCE ON FINANCIAL ADVISOR SUCCESSION PLANS
2022-10-07: ARE RETIRING FA SUNSET PLANS RIFE WITH ABUSE?
2022-10-04: FINRA RULES EX PARTE TEMPORARY RESTRAINING ORDER RESULTS IN STATUTORY DISQUALIFICATION
2022-09-30: SEC ANNOUNCES EXAMINATION FOCUS ON NEW RIA MARKETING RULE
2022-09-16: SEC CHARGES INVESTMENT ADVISER FOR FAILING TO DISCLOSE SPAC-RELATED CONFLICTS
2022-09-01: FINRA AWC PROVIDES A PRIMER ON ACTIVITIES VIEWED AS AML RED FLAGS
2022-08-12: FINRA RELEASES GUIDANCE ON SUPERVISION RELATING TO DIGITAL SIGNATURES
2022-08-04: SEC CHARGES CONVERTIBLE NOTE DEALER WITH FAILURE TO REGISTER
2022-07-25: FINRA ENDS MANDATORY ARBITRATION FOR CLAIMS OF SEXUAL HARASSMENT OR SEXUAL ASSAULT
2022-07-15: FINRA ENFORCEMENT SEEKS BAR FOR FAILURE TO ATTEND AN OTR AND GETS DENIED BY THE OHO
2022-07-11: FINRA HEARING PANEL REJECTS “NO HARM, NO FOUL” DEFENSE
2022-06-23: SEC BRINGS FIRST CHARGES FOR VIOLATION OF REGULATION BEST INTEREST
2022-06-03: ELON MUSK AND MARK CUBAN FILE AMICUS BRIEF URGING SUPREME COURT TO TAKE UP THE SEC GAG RULE
2022-05-20: FINRA HITS AN FA FOR RUNNING A SUBSCRIPTION-BASED INVESTOR WEBSITE
2022-05-11: FINRA RELEASES PAPER REGARDING EXPUNGEMENT OF CUSTOMER COMPLAINTS
2022-05-05: STATE SECURITIES REGULATOR MOVES TO VACATE A FINRA ARBITRATION EXPUNGMENT AWARD
2022-04-25: FINRA RULE 3280: WHAT DOES IT MEAN TO “PARTICIPATE” IN A PRIVATE SECURITIES TRANSACTION?
2022-04-19: GAG ORDERS USED BY FINRA UNDER REVIEW BY SCOTUS
2022-04-03: HERSKOVITS PLLC INVESTIGATES DEFERRED COMP CLAIMS FOR FORMER MORGAN STANLEY ADVISORS
2022-03-22: FINRA Enforcement Puts Chief Compliance Officers on Notice
2022-03-15: Will We See a Spike in Margin Liquidations Due to SEC Guidance?
2022-03-07: Summary of FINRAs Examination and Risk Monitoring Program Findings for 2022
2022-02-16: Hacking the Unhackable and Tracing the Untraceable
2022-01-21: FORM U4 CRIMINAL HISTORY DISCLOSURES
2021-07-07: FINRA HITS AN FA FOR REASONABLE-BASIS SUITABILITY VIOLATION WITH NON-TRADITIONAL ETFs
2021-05-06: FINRA ARBITRATION AWARD DESCRIBES MERRILL LYNCH’S “RECKLESS DISREGARD FOR THE TRUTH” IN A FORM U5 FILING
2021-01-27: SEC DENIES ODD-BALL WHISTLEBLOWER CLAIM
2020-11-24: Herskovits PLLC Proves Form U5 Defamation and is Awarded Attorneys’ Fees for Our Client
2020-09-27: FINRA SEEKS TO LIMIT EXPUNGEMENT REQUESTS WITH PROPOSED RULE
2020-09-11: FINRA SETTLEMENT CASTS DOUBT ON PROTOCOL FOR BROKER RECRUITING PROTECTIONS
2020-07-21: FINRA ISSUES REPORT ON ARTIFICIAL INTELLIGENCE IN THE SECURITIES INDUSTRY
2020-06-09: THE SEC’s WAR ON 12b-1 FEES
2020-05-14: FINRA CRUSHES AN ANALYST FOR DISCLOSING PROPRIETARY INFORMATION
2020-05-02: CALIFORNIA ENDS ABSOLUTE IMMUNITY FOR FORM U5 DEFAMATION CLAIMS
2020-04-27: FINRA REMINDS FAs THAT NO GOOD DEEDS GO UNPUNISHED
2020-04-05: FINRA RAMPS-UP CASES FOR UNDISCLOSED OUTSIDE BUSINESS ACTIVITIES AND UNAPPROVED PRIVATE SECURITIES TRANSACTIONS
2020-03-23: FINRA BARS FA JAMES DAUGHTRY FOR FAILING TO COOPERATE WITH THE REGULATOR
2020-03-22: RESPONDING TO A SUBPOENA FROM THE CFTC
2020-03-20: FEDERAL COURT EXPANDS THE DEFINITION OF “CUSTOMER” FOR PURPOSES OF COMPELLING FINRA ARBITRATION
2020-03-12: FINRA CHARGES AN FA FOR STRUCTURING CASH DEPOSITS AND WITHDRAWALS
2020-03-05: FA CLAIMS THAT FINRA OBTAINED HIS SETTLEMENT BY FRAUDULENT INDUCEMENT
2020-02-05: VIRGINIA BANS MANDATORY ARBITRATION IN ADVISORY AGREEMENTS
2020-01-31: FINRA BARS A SUPERVISOR FOR THE MISDEEDS OF ANOTHER
2020-01-10: UBS DEFAMES AN FA BUT STILL WINS BIG
2020-01-06: FINRA Attacks Suitability By Challenging FAs Product Knowledge
2019-12-30: FINRA ARBITRATORS REFUSE TO PERMIT FAs TESTIMONY: BUT THEY DID HEAR FROM THE SUBSTITUTE TEACHER
2019-12-29: FINRA HITS AN FA FOR FAILING TO DISCLOSE BENEFICIAL OWNERSHIP OF AN ACCOUNT
2019-12-17: FINRA DROPS THE STATUTORY DISQUALIFICATION HAMMER
2019-12-13: UBS IS SLAMMED FOR FORM U5 DEFAMATION: QUALIFIED IMMUNITY PREVAILS
2019-11-21: FINRA ACCUSES NY LIFE OF FALSIFYING CUSTOMERS’ INVESTMENT OBJECTIVES: OUCH
2019-11-20: FINRA DINGS ANOTHER FA FOR A PRIVATE SECURITIES TRANSACTION VIOLATION
2019-10-21: Enforceability of a FINRA Arbitration Subpoena
2019-06-28: Did You Lose Your Investment Because of Bad Advice? Why You Need an Attorney
2019-06-21: How Can Arbitration Help Your FINRA Case?
2019-06-14: What To Know About SEC Investigations
2019-06-07: FINRA Regulatory Notice 19-10: Broker/Brokerage Firms Transition Communications
2018-07-18: Chicago Cryptocurrency Trader Pleads Guilty to Stealing $3 Million in Litecoin and Bitcoin
2018-07-18: A Pre-ICO Deal You Cannot Miss? Meet The SEC’s Brainchild, HoweyCoins
2018-07-12: Georgia Court Ruling Diminishes Protocol Protections for Brokers
2018-07-11: Massachusetts Watchdog Targets Broker-Dealers’ Inadequate Oversight of Private Placements
2018-07-10: FINRA Regulatory Notice Encourages Members to Disclose Participation in Any Cryptocurrency-related Activities
2018-07-09: WELLS FARGO Will Pay $480 Million to Settle Fraud & Insider Trading Class Action Brought by Shareholders
2018-06-16: California Attorney Found Guilty in Pump-and-Dump Scheme Case Involving Greenway Technology and Crown Marketing
2018-06-15: Merrill Lynch FAs Will Experience Pay Cuts Unless They Meet Certain Targets
2018-06-11: CFTC Tells Judge It Has Jurisdiction Over Cryptocurrencies
2018-05-22: CFTC Staff Advisory Offers Guidance for Listing Cryptocurrency Derivative Products
2018-05-14: Anti-Money Laundering and Sanctions Compliance: New Challenges for Financial Institutions
2018-05-12: Delaney Equity Group Could Face Probation and Steep Fines in “Shell Factory” Case
2018-05-11: SEC and CFTC Cryptocurrency Regulation Chronology and Outlook for the Rest of 2018
2018-05-10: SEC Court Order Follows Jay-Z Refusal to Cooperate
2018-05-01: “CRAEFUL!” The Do’s & Don’ts of Cryptocurrency and ICO Investing
2018-04-30: FINRA Imposes $550,000 Fines on Aegis Capital Over Anti-Money Laundering Violations
2018-04-28: FINRA Fines Wedbush Securities $1.5 Million Over Violations Related to Customer Reserves and Net Capital Requirements
2018-04-27: New Arrest in SEC Case Against Celebrity-backed ICO Centra Tech
2018-04-21: SEC Proposes Regulation Best Interest to Protect Investors from Self-Serving Brokers
2018-04-10: SEC Subpoena? How Cryptocurrency Companies Should Prepare
2018-04-09: Cryptocurrency and ICO Space Prepare for Increasing SEC Scrutiny
2018-04-07: SEC Suit Targets Fintech Startup Scam
2018-03-24: Brooklyn Prosecutors Say ICOs are Securities in Alleged Fraud Case
2018-02-26: SEC’s Lawsuit Against Woodbridge´s Robert Shapiro Over a 1.2 Billion Ponzi Scheme Has Many Ramifications
2018-02-24: FINRA Fined Citigroup $11.5 Million and J.P. Morgan $2.8 Million
2018-02-23: FINRA Issues Warning About Cryptocurrency Stock Scams
2018-02-21: FINRA Proposes New Rules, Releases Budget for the First Time
2018-02-17: SEC and CFTC Say Cryptocurrency and ICO Trading No Longer Off Their Radars
2018-02-16: CFTC Targets Multi-Million Dollar Cryptocurrency Fraud with Multiple Suits
2018-01-11: FINRA Plans to Crack Down on High-Risk Brokers, Are You at Risk?
2017-12-14: FINRA Rules 2165 & 4512 – Elder Abuse in the Securities Industry
2017-12-11: Former SEC Chair Warning: Lack of Oversight of Registered Investment Advisors an Impending Disaster
2017-11-30: Morgan Stanley No Longer Bound by the Protocol for Broker Recruiting
2017-11-20: SEC Enforcement Actions and Fines Plummet Under Trump
2017-11-13: Sandlapper Securities Named in FINRA Exorbitant Fees Complaint re: Saltwater Well Investments
2017-11-10: Former UBS Broker Wins $3 Million in Defamation Case
2017-11-09: SEC Enforcement Executive Vows to Protect Retail Investors and Address Cyber Related Misconduct
2017-10-31: Have FINRA’s “Poor Investments” Affected its Members?
2017-10-30: FINRA’s Competency Exam Updates Lower Barriers for Industry Newcomers
2017-10-27: NASAA Releases Annual Enforcement Report – Registered Members Top Enforcement Actions
2017-10-18: SEC Accuses Two NYC Brokers of Defrauding Customers
2017-10-10: FINRA VOWS TO LIMIT EXPUNGEMENTS – Rules and Realities
2017-10-07: FINRA Censures and Fines New York Firm $750,000 Over Its Role In Death Put Scheme
2017-09-20: Dishonest Trader Must Disclose Commodity Law Violations in Public Communications
2017-09-18: FINRA CEO Cook Grilled by Congress on FINRA’s Financial Conduct
2017-09-15: Evolution of Publicly Traded Stock Ownership in the US 1990s-2016
2017-09-06: Ironbridge Global Partners and a Subsidiary to Pay $4.4 Million Settlement over Microcap Finance Practices
2017-08-30: FINRA Fine Stats 2016 vs. 2017 and Enforcement Trends
2017-08-29: FINRA Vows to Protect Investors from High-Risk Brokers
2017-08-24: SEC Seeks Injunction in Case Against Avalon FA Ltd. Over Illegal Market Manipulation Known as Layering
2017-08-22: Raiding Cases in the Securities Industry – Navigating Claims, Damages & the Rest
2017-08-16: $4.8M in FINRA Fines for 4 Firms on Supervisory Gap & Deutsche Bank $12.5M on Failed Supervision of Internal Comms
2017-08-05: FINRA Disciplinary Proceedings – Inside FINRA’s Complaint and Hearing Process
2017-08-03: Keeping the Record Straight – FINRA Cracks Down on Firms for Failing to Protect Records
2017-07-31: FINRA Chief Counsel on Emerging Regulatory Issues and Enforcement Priorities
2017-07-24: Cal-based Representative Jim Seol Barred by FINRA – Failure to Disclose $100 Million in EB-5 Investments to Employer
2017-07-21: SEC Focuses on BSA AML Enforcement, Utah’s Alpine Securities Charged with Systematic Violations
2017-07-10: FINRA Investigation Defenses, Process & Rule 8210 Realities
2017-06-27: LPL’s Bonds Learns 3240 No Borrowing From Customers Lesson
2017-06-02: Barclays Reaches $97 Million Settlement with SEC
2017-05-22: Albany Investment Firm Agrees to Pay Tribe $3.4 Million Over Fraudulent Sale of Non-Traded REITs and BDCs
2017-05-20: FINRA Settles Complaint Over Undisclosed Tax Liens Over $1 MIllion
2017-05-15: Broker Denied FINRA Expungement after Settlement – Tightening Rules and the Need for Legal Representation
2017-05-12: AML Regulators Target Capital One’s Check Cashing Businesses
2017-05-05: FINRA’s Revised Sanction Guidelines
2017-04-27: SEC Loses in Its Own Court – Charges Dismissed in Radiant Systems Insider Trading Case
2017-04-18: FINRA Fines TD Bank Unit over Failure to Review Emails
2017-04-12: Between the Forgotten Investor and CEO Pay Ratio Disclosures – Piwowar’s Vision for the SEC
2017-04-11: FINRA Implements New Rule and Procedures to Prevent Financial Exploitation of Seniors
2017-03-13: SunTrust Might Face SEC Enforcement Actions Over Alleged Self-Serving Investment Recommendations
2017-02-06: Mexico in Crosshairs Of Precedent Setting 2016 FCPA Enforcement Actions
2017-01-17: FINRA Fines Credit Suisse $16.5M for Anti-Money Laundering Program Failures
2017-01-09: FINRA Enforcement Focus 2017: 6 Common Broker-Dealer AML Program Deficiencies
2016-11-30: Merrill Lynch Pays $7 Million Penalty for Inadequate Brokerage Account Supervision
2016-11-28: FINRA Fines VALIC Financial Advisors $1.75M for Compensation Plan Conflicts of Interest
2016-11-15: Avoiding Emerging Cybersecurity Whistleblower Pitfalls
2016-11-01: SEC Announces Record Enforcement Actions for FY2016
2016-10-01: Capital Acquisition Brokers: Is FINRA’s New Broker-Dealer Category a Good Deal?
2016-08-01: Andrew Ceresney: SEC Enforcement Expands Focus on Private Equity Broker-Dealer Activities
2016-01-06: FINRA’s Top 5 Enforcement Action Sanctions Of 2015
2013-05-08: FINRA Identifies “Red Flags” for AML Compliance
2013-04-01: 4th Circuit Further Defines A “Customer” Under FINRA Arbitration Rules
2013-02-11: FINRA Hits Lincoln Financial With Failure to Supervise Concerning a Ponzi Scheme
2013-02-04: Herskovits PLLC Submits Comments to FINRA Proposed Rule on Recruitment Compensation Practices
2013-01-29: Courts Lining Up in Favor of Broad Definition of Customer Under FINRA Rules
2013-01-15: FINRA Is Looking for Additional Disclosure on Up Front Loans to Reps
2012-11-06: Enforcement Report Issued by State Securities Regulators Emphasize RIAs
2012-11-01: FINRA Exec Lays Out FINRA’s Enforcement Agenda
2012-10-23: FINRA Provides Guidance for Supervisory Review of Email
2012-10-16: Fidelity Wins Against Morgan Stanley in a Non-Protocol Solicitation Case
2012-10-12: FINRA Arbitrators Start Getting Tough With Discovery Abuses
2012-06-19: FINRA DISCIPLINARY ACTIONS – JUNE 2012 UPDATE
2012-06-13: Are You Making “Suitable” Recommendations?
2012-06-04: Regulators probe bank’s role in Facebook IPO
2012-06-03: NY top court weighs claim from investment

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