Financial Industry Regulatory Authority
11 records since March 12, 2026, newest first.
- FINRA Fines Revere Securities $800,000 for Small-Cap IPO-Related AML and Supervisory Failures
- FINRA Bars Broker for Misappropriating $1.7 Million from Customers’ Accounts
- FINRA Orders American Portfolios to Pay $1.2 Million in Restitution and $400,000 in Fines for UIT Supervision Failures
- FINRA Fines UBS Financial $20 Million for Anti-Money Laundering Violations
- FINRA Expels Reid & Rudiger, Bars Cofounders
- FINRA Fines Pictet Overseas and Blue Ocean ATS for AML and Supervisory Violations Involving Low-Priced Securities
- FINRA Fines First Trust Portfolios $10 Million for Violations Relating to Gifts and Entertainment
- FINRA Orders Securities America to Pay $2 Million in Restitution to Customers, Fines Firm $1 Million for Mutual Fund Supervision Failures
- FINRA Orders American Portfolios Financial Services to Pay $4.6 Million in Restitution for Overcollection of Fees, Retention of Surplus Interest
- Disciplinary Actions Online
- Monthly Disciplinary Actions