Finra

Top News

• Disciplinary Action 2025088717701 (Buddy Dean Mason) (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-09, 21:52

  ) The text version of this document is not available. You can access the...

• Regulatory Notice 26-17 (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-09, 19:51

  ) The text version of this document is not available. You can access the...

• MARS FX INVESTOR ALERT: KlaymanToskes Investigates Potential FINRA Claims Following Fund Collapse

  The Daily Record - Dunn 2026-10-09, 19:00

  Investors who purchased Mars FX through financial advisors may have separate claims against the brokerage...

• KlaymanToskes Files Strategic Financial Alliance FINRA Claim Seeking Up to $500k Over Inland DST Losses

  The Daily Record - Dunn 2026-10-09, 19:00

  Claim Alleges Matthew Brennan and Aaron Clarke Recommended Concentrated, Illiquid 1031 Exchange Investments in...

• KlaymanToskes Files FINRA Claim Seeking Up to $1 Million Against LPL Financial and Principal Securities

  The Daily Record - Dunn 2026-10-09, 19:00

  Claim Alleges Speculative Biotech and Meme Stock Recommendations, Unsuitable Covered Call Trading, Excessive...

• Proposal to harmonize NYSE Rule 3220 with certain changes by the Financial Industry Regulatory Authority, Inc. to FINRA Rule 3220 to, among other things, increase the gift limit from $100 to $300 (NYSE Group Inc)

  Public Technologies 2026-10-09, 18:51

  ) Samir.Patel@ice.com (212) 656-2030 Fax (212) 656-8101 Required fields are shown with yellow backgrounds and...

• Report From FINRA Board of Governors’ September Meeting

  Business Wire 2026-10-08, 16:37

  WASHINGTON--(BUSINESS WIRE)--At its meeting Sept. 29-30, the FINRA Board of...

• Report From FINRA Board of Governors’ September Meeting (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-08, 15:58

  ) Board Approves Four Rule Proposals as Part of FINRA Forward Rule Modernization WASHINGTON-At its meeting...

• Disciplinary Action 2025088719301 (Gregory Wayne Berg) (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-07, 02:17

  ) The text version of this document is not available. You can access the...

• FINRA Fines Revere Securities $800,000 for Small-Cap IPO-Related AML and Supervisory Failures

  Business Wire 2026-10-06, 17:22

  WASHINGTON--(BUSINESS WIRE)--FINRA has fined Revere Securities LLC $800,000...

• Disciplinary Action 2023080788201 (Revere Securities LLC) (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-06, 17:01

  ) ‌FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080788201‌ TO:...

• How AI Is Supercharging Investment Fraud (And What You Can Do About It) (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-06, 15:59

  ) Artificial intelligence is giving fraudsters powerful new tools, like deepfakes, voice cloning, and...

• FINRA Fines Revere Securities $800,000 for Small-Cap IPO-Related AML and Supervisory Failures (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-06, 15:59

  ) Firm Ignored Red Flags of Potentially Manipulative Trading Tied to Foreign-Based IPOs WASHINGTON-FINRA for...

• Disciplinary Action 2024082473501 (Andrew Paul Schneider) (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-06, 15:59

  ) The text version of this document is not available. You can access the...

• MTA Is the New FINRA (Litquidity Ventures)

  Public Technologies 2026-10-06, 14:58

  ) Together with Good Morning, Citi shortened its IB analyst program to fend of PE poaching, the Fed is...

• Disciplinary Action 2022075036201 (Gerald James O’Halloran, Francisco B. Almada - Union Capital Company) (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-05, 23:55

  ) The text version of this document is not available. You can access the...

• Disciplinary Action 2023077025301 (David Lerner Associates, Inc.) (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-05, 23:55

  ) The text version of this document is not available. You can access the...

• Disciplinary Action 2022073920901 (William Henry Sandeman) (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-05, 23:55

  ) ‌FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073920901 TO:...

• Election Notice - 10/5/2026 (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-05, 17:54

  ) The text version of this document is not available. You can access the...

• New Research Finds Most Investors Lack Advanced Investment Knowledge, Increasing Their Exposure to Investment Risk (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-05, 15:51

  ) Only 18% of Investors Surveyed Demonstrate Advanced Investment Literacy, with Knowledge Gaps Linked to Fraud...

• Investor Bulletin: World Investor Week 2026 (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-05, 15:20

  ) The SEC's Office of Investor Education and Assistance (OIEA), the Commodity Futures Trading Commission's...

• Disciplinary Action 2025088387901 (John W. Howell) (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-02, 22:03

  ) FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2025088387901 TO:...

• Disciplinary Action 2026090487401 (Thomas Shelby Bridges) (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-02, 22:02

  ) FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2026090487401 TO:...

• Extended Hours TRF Test Facility Availability & Weekend UATs (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-02, 20:50

  ) FINRA is publishing this Technical Notice to announce that the test facilities of the FINRA/Exchange Trade...

• ThirdNexa Launches AI-powered Vendor Risk Platform Built for SEC- and FINRA-Regulated Firms

  The Daily Record - Dunn 2026-10-02, 15:25

  Self-checking AI, human approval on every record, and pricing you can see up front. AI can save these teams...

• Disciplinary Action 2025088064301 (Robert Wayne Thompson) (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-10-01, 19:54

  ) ‌FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 202508g064301 TO:...

• Allium Comments on FINRA's Proposal to Modernize Best Execution Guidance (Allium Inc)

  Public Technologies 2026-10-01, 16:56

  ) Allium has submitted a comment letter to the Financial Industry Regulatory Authority on Regulatory...

• Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166 (SIFMA - Securities Industry and Financial Markets Association Inc)

  Public Technologies 2026-09-30, 23:01

  ) Summary SIFMA 1 provided comments to the U.S. Securities and Exchange Commission (SEC) in support of the...

• Be Wary of Pressure to Transfer Funds From Your Brokerage Account (FINRA - Financial Industry Regulatory Authority Inc)

  Public Technologies 2026-09-30, 17:54

  ) Have you been asked to move money out of an investment account by someone you don't know? Is someone...

• Commission Orders, Notices, and Information (Potential Designation of Passage of an Accredited Investor Exam to Be Developed by FINRA as Qualifying Natural Persons for Accredited Investor Status) (SEC - US Securities and Exchange Commission)

  Public Technologies 2026-09-30, 17:53

  ) The text version of this document is not available. You can access the...