FINRA Launches Structured Notes Sweep
By Melanie WaddellThe regulator is zeroing in on Reg BI obligations tied to non-principal protected "worst-of" structured notes.
April 23, 2026
Branch Manager Suspended at Firm Accused of Widespread ChurningA New York branch manager failed to supervise 39 reps' trading misconduct, FINRA's order states.
April 08, 2026
Rep Violated Reg BI With Structured Note Sales to Retirees: FINRANeither client of Frederick Hohensee had prior experience with the complex investment products, an order states.
March 18, 2026
FINRA's Top 5 Fine Categories in 2025Total fines increased in 2025 while the number of cases fell, Eversheds Sutherland's analysis finds.
January 30, 2026
FINRA Hits Another BD With Reg BI, Form CRS FineGMS Group fell short on written supervisory procedures, according to the regulator.
January 26, 2026
Ex-Stifel Rep Steered Older Clients to Costly Brokerage Trades: FINRAJonathan Webster placed trades in commission-based accounts rather than less expensive fee-based ones, a suspension order states.
January 23, 2026
FINRA Dings a BD for Lacking Leveraged ETF PoliciesStirlingshire Investments violated Reg BI when it failed to supervise reps' recommendations of the risky products, FINRA found.
January 07, 2026
FINRA Hits BD With $20K Fine Over Form CRS FailuresVSI Securities failed to disclose its disciplinary history on the form over a five-year period.