Latest News for: finra

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FINRA Adopts Amendments to the Capital Acquisition Broker Rules (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 23 Feb 2026
FINRA Adopts Amendments to the Capital Acquisition Broker Rules ... As part of the FINRA Forward initiative, FINRA has adopted amendments to the Capital Acquisition Broker (CAB) rules that are designed to ... ▶ FINRA Rule 3280.
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Disciplinary Action 2023077467801 (Avantax Investment Services, Inc.) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 20 Feb 2026
). ! "#$%&'(#)'*+,)+*&-#(#)'. ./)%)-/%01)234'&56#730%'*&583'9*&/'5..1;68<. 6,! 8=%)'%>1)=#4'(#)'?#&=/-#4@1)-A.6#4$*)2#)'< ... D6";*AEFLMN ... *&2#)5/)7'9#(! ... ! ... ' ... FINRA - Financial Industry Regulatory Authority Inc.
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Disciplinary Action 2024083942501 (Kyle Lindner) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 20 Feb 2026
This AWC is submitied on the condition thal, if accepted, FINRA ... Although Lindner ls no longer registered or associated with a FINRA member, FINRA retains jurisdiction pursuant to A8icle V, Section 4 of FINRA's By-Laws.' ... See FINRA Rules 8310 and 8311.
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Disciplinary Action 2023079905502 (Peter Thomas Lawrence) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 19 Feb 2026
Financial Industry Regulatory Authority (FINRA) ... See FINRA Rules 8310 and 8311 ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC.
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Disciplinary Action 2022073427701 (J.P. Morgan Securities LLC) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 19 Feb 2026
Financial Industry Regulatory Authority (FINRA) ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC ... Accepted by FINRA..
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Disciplinary Action 2025086337101 (Gregory V. Matthews) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 19 Feb 2026
FINRA Rule 8210(a)(1) requires ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC.
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Disciplinary Action 2025086007201 (Robert Settimio Cupello) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 19 Feb 2026
Pursuant to FINRA Rule 9216, Respondent Robert Settimio Cupetlo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose ofproposing a settlement of the alleged rule violations described below ... FINRA requires that.
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Disciplinary Action 2024081563501 (Avinesh Shankar) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 17 Feb 2026
By virtue of the foregoing, Shankar violated FINRA Rule 2010 by forging customer signatures and converting funds ... Shankar first became registered with FINRA through an association with a FINRA member firm in 2013 ... (Violation of FINRA Rule 2010).
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Disciplinary Action 2025085940401 (Ricardo Cruz) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 17 Feb 2026
Financial Industry Regulatory Authority (FINRA) ... Cruz refused to provide information and documents and to appear for on-the-record testimony as requested by FINRA pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010.
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Take Two: FINRA Revisits Proposal to Align Rule 2210 with the SEC Marketing Rule (Dechert LLP)

Public Technologies 13 Feb 2026
) On February 10, 2026, FINRA re-proposed amendments to Rule 2210 to permit performance targets and projections in broker-dealer communications, subject to certain conditions.
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Monthly Disciplinary Actions February 2026 (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 12 Feb 2026
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB) ... (FINRA Case ... FINRA.
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Disciplinary Action 2024081939101 (Carly C. Zelner) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 10 Feb 2026
Financial Industry Regulatory Authority (FINRA) ... See FINRA Rules 8310 and 8311 ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC.
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Disciplinary Action 2022073260701 (Taglich Brothers Inc.) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 10 Feb 2026
Financial Industry Regulatory Authority (FINRA) ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC ... Accepted by FINRA..
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Holiday Reminder Regarding FINRA Market Transparency Reporting Systems (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 09 Feb 2026
In observance of Presidents' Day, FINRA's Market Transparency Reporting Systems will be closed on Monday, February 16, 2026 ... FINRA - Financial Industry Regulatory Authority Inc.
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Reducing Burdens and Providing Guidance on the Use of Negative Consent for the Bulk Transfer or Assignment of Customers’ Accounts (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 06 Feb 2026
FINRA has previously stated its view that the use of negative consent to transfer or assign customers' accounts may be appropriate in some bulk transfer circumstances ... ▶ FINRA Rule 1017. ▶ FINRA Rule 2010. ▶ FINRA Rule 2210. ▶ FINRA Rule 2273.

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