Monthly Disciplinary Actions

FINRA takes disciplinary actions against firms and individuals for violations of FINRA rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.

Monthly Disciplinary Actions

January 2021

2017 Exam Findings Report
2018 Exam Findings Report
2019 Exam Findings Report
A Few Minutes With FINRA
About FINRA
Annual Regulatory and Examination Priorities Letters
Arbitration and Mediation
Blog Post
Board of Governors Meeting
Careers
Communications to Firms
Compliance Tools
Conference Call
Content Outline
Continuing Education
Disciplinary Action Report
Election Notice
Email to Firms
Events & Training
Exemptive Letter
FAQ
Filing and Reporting
Financial Reports
FINRA's Financial Guiding Principles
FINRA360 Progress Report
Form
From Small Firm Advisory Board (SFAB)
Get Involved
Guidance
Hide From What's New
Information Notice
Interpretive Letter
Investor Alert
Investor Education
Investor Highlights
Investor Insights
Key Topic
Manage Your Career
Media Center
Monthly Disciplinary Actions
Neutral Corner
News Release
Notice
Notice to Members
Oversight & Enforcement
Podcast
Protecting Senior Investors 2015-2020
Publication
Qualification Exam
Quarterly Disciplinary Review
Registration
Regulatory and Compliance Alerts (RCA)
Regulatory Notice
Report / Study
Report Card
Request for Comment
Rule
Rule Filing
Special Notice
Speech / Testimony
Targeted Examination Letter
Technical Documentation
Technical Notice
The Alert Investor
Trade Reporting Notice
Training
User Guide
Video
Virtual Conference Panel
Webinar

401(k)
403(b)
457
529 Prepaid Tuition Plans
529 Savings Plans
Accounts At Other Broker Dealers and Financial Institutions
Advertising Regulation
Agency Bonds
Algorithmic Trading
Alternative and Complex Products
Alternative Display Facility (ADF)
Annual Audit
Anti-Money Laundering
Arbitration and Mediation
Asset Backed Securities
Auction Rate Securities
Back testing
Bank Products
Best Execution
Best Practices
Block Chain / Distributed Ledger Technology
Blue Sheets
Bond Funds
Bond Mutual Fund Volatility/Risk Rating
Bonds
Books and Records
Branch Offices
Breakpoints
Broker Dealer Registration
Broker Migration
Broker-Dealer Recruitment Disclosures
Brokerage
BrokerCheck
Business Cards
Business Continuity Planning
Business Development Company (BDC)
Capital Acquisition Brokers
Capital Formation
Carrying Agreements
Cash Equivalents
Catastrophe Bonds
Central Registration Depository (CRD)
Certificates of Deposit (CDs)
Collateralized Mortgage Obligations (CMOs)
College Savings Plans
Commodities and Futures
Communications with the Public
Compensation
Compliance Resources
Comprehensive Automated Risk Data System (CARDS)
Conflicts of Interest
Consolidated Audit Trail (CAT)
Consolidated Reports
Continuing Education
Continuing Membership Applications
Continuing Membership Applications
Corporate Bonds
Corporate Financing
Correspondence
Coverdell Education Saving Accounts (ESAs)
COVID-19 / Coronavirus
Credit for Cooperation
Custodial Accounts (UGMA and UTMA)
Customer Account Statements
Customer Account Transfers
Customer Information Protection
Customer Orders
Cybersecurity
Day Trading
Deferred Annuities
Department of Labor
Derivatives
Derivatives and Other Balance Sheet Items (OBS)
Digital Experience Transformation (DXT)
Direct Participation Programs (DPPs)
E-Bill
Education
EFocus
Electronic Communications
Electronic Filing Requirements
Electronic Fingerprint Processing
Electronic Fingerprint Submission (EFS)
Enforcement
Enforcement Process
Engagement
Equities
Equity-Indexed Annuities
Essentials Exam
Event Linked Bonds
Exam Restructuring
Exams
Exchange Traded Funds (ETFs)
Expense Ratio
Expertise
Fee Disclosure
Fees
Filing Requirements
Financial and Operational Rules, Interpretations of
Financial Responsibility
Financial Stress Test
Fingerprints
FINRA Foundation
FINRA Logo
FINRA Membership/Name
FINRA360
FinTech
Firm Examination Program
Fixed Annuities
Fixed Income
Foreign Exchange Trading
Free Writing Prospectus
Funding and Liquidity
Funding Portals
Funds
GASB Accounts Support Fee
Generation X
Ghost-writing
Gifts, Gratuities and Non-Cash Compensation
Governmental Accounting Standards Board (GASB)
Hedge Funds
High Risk Brokers
High Yield Bonds
High Yield Securities
Home Equity Funded Investments
Hyperlinks
Illiquid Investments
Indications of Interest
Individual Registration
Individual Retirement Accounts (IRAs)
Inexperienced
Information and Testimony Requests
Initial Public Offering (IPO)
Innovation
INSITE
Institutional Communications
Insurance
International and Emerging Market Bonds
Investment Analysis Tools
Investment Banking Referrals
Investment Products
Investor Protection
Investors
Junk Bonds
Letterhead
Life Settlements
Limit Order
Linking to BrokerCheck
Margin Accounts
Margin Risk Disclosure
Mark-ups / Mark-Downs
Market Access
Market Order
Market Regulation
Market Transparancy
Materiality Consultation Process
Member Application Program
Mergers Acquisitions and Business Transfers
Military
Military Spouses
Millennials
Money Market Securities
Mortgage Backed Securities
Municipal Advisor Regulation
Municipal Fund Securities
Municipal Securities
Mutual Funds
National Adjudicatory Council (NAC)
National Cause and Financial Crimes Detection Programs (NCFC)
National Do-Not-Call Registry
National Market System Plans
Near Retirement
Negative Response Letters
Net Capital
New Account Process
New Firm Communications
New Investor
Office of Fraud Detection and Market Intelligence
Office of Hearing Officers (OHO)
Office of the Chief Economist
Office of the General Counsel
Office of the Ombudsman
Office of the Whistleblower
Operations
Options
Options Exchange Filings
Order Audit Trail System (OATS)
Order Handling
OTC (ATS & Non-ATS) Transparency
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Oversight
Penny Stocks
Pre-investor
Preferred Securities
Principal Approval
Principal Protected Notes
Private Placements
Product Vetting
Professional Designations
Projections
Promissory Notes
Proprietary Trading
Public Disclosure Program
Public non-traded REITS
Public Offerings
Qualification Exams
Rankings
Real Estate Investment Trusts
Registered Investment Advisers (RIA)
Registration and Disclosure (RAD)
Regulation A Offerings
Regulation Best Interest (REG BI)
Regulation D Offerings
Regulation M
Regulation M Filings
Regulation NMS
Related Performance
Renewal Program
Reporting
Reprints
Research Analyst Rules
Research Disclosures
Research Reports
Retirement Savings Plans
Retrospective Rule Review
Reverse Convertible Notes (RCN)
Risk Management
Rule 4530 Reporting Requirements
Sales Practices
Sanction Guidelines
Savings Accounts
Securities Investor Protection Corporation - SIPC
Security Futures
SEC’s July 2013 Financial Responsibility Rule Amendments
Senior Designations
Senior Investors
Shareholder Reports
Short Interest Reporting
Short Selling
Social Media
Statutory Disqualification
Stocks
Structured Products
Subordination Agreements
Suitability
Supervision
Supplemental Statement of Income (SSOI)
Technology
Teens
Telemarketing
Television and Video
Templates
Tenants-in-Common Interests
Third Party Research
Thrift savings plan (TSP)
Tick Size Pilot Program
TRACE BTDS
Trade Reporting and Compliance Engine (TRACE)
Trade Reporting Facility (TRF)
Trading Activity Fee
Treasury Bills
Treasury Bonds
Treasury Inflation Protected Securities (TIPS)
Treasury Notes
U.S. Treasury Securities
Uniform Practice Code (UPC)
Update a Firm's Registration
Use of Negative Response Letters
Variable Annuities
Variable Life Insurance Products
VIX-Linked Products (Volatility Index)
Web CRD
Women