Risk Monitoring Report Cards

Canceled and As-Of Trades Report
In Regulatory Notice 23-17, FINRA announced its decision, effective November 30, 2023, to discontinue collecting INSITE data, pursuant to Rule 4540, at this time. As a result, effective November 30, 2023, the Canceled and As-Of Trades Report was retired from the FINRA Report Center. Any questions may be directed to Demetrios (J) Koutros, Vice President, Member Supervision Operations, Procedures and Standards, at (646) 315-8509 or by email.

Customer Complaints Report
This quarterly report displays trends in customer complaint information reported as required by FINRA Rule 4530.

Customer Debits Report
In Regulatory Notice 23-17, FINRA announced its decision, effective November 30, 2023, to discontinue collecting INSITE data, pursuant to Rule 4540, at this time. As a result, effective November 30, 2023, the Customer Debits Report was retired from the FINRA Report Center.  Any questions may be directed to Demetrios (J) Koutros, Vice President, Member Supervision Operations, Procedures and Standards, at (646) 315-8509 or by email.

Registered Representative Composition Report
This quarterly report displays trends in the profile of registered representatives associated with the firm.

Sales Practice Complaint Report
This quarterly report displays trends in sales practice complaints reported to FINRA on a quarterly basis, evaluated against the number of registered representatives at the firm and sales revenue of the firm.