Finra

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Disciplinary Action 2025088031501 (Anthony Sica) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 20 Mar 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 2022076038801 (Stash Capital LLC) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 20 Mar 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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An 80-year-old was scammed out of $285,000. His computer was accessed remotely, and his money ...

Business Insider 20 Mar 2026

... Schwab with FINRA ... The couple's dream of returning to Europe was shattered, and they are now worried about how they will cope financially.The pair filed a claim with FINRA ... FINRA said it had no comment.

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Proposed Rule Change to Amend FINRA Rule 2210 (SIFMA - Securities Industry and Financial Markets Association Inc)

Public Technologies 19 Mar 2026

FINRA recognizes this problem in part ... We commend FINRA for reconsidering its earlier proposal and incorporating feedback that it received ... However, we believe FINRA can align Rule 2210 with the Marketing Rule further.

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Disciplinary Action 2024081563501 (Avinesh Shankar) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 19 Mar 2026

Under the terms of the Offer, Respondent has consented, without admitting or denying the allegations of the Complaint, and solely for the purposes of this proceeding and any other proceeding brought ...

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Disciplinary Action 2025086670901 (Roger Roemmich) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 19 Mar 2026

with respect to any matter involved in [a FINRA] investigation." FINRA Rule 8210(a)(2) states that FINRA has the right to "inspect and copy the books, records, and accounts of such member or ...

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2026 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 18 Mar 2026

In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB) ... ▶ FINRA By-Laws, Schedule A ... FINRA.

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Disciplinary Action 2024081184401 (Joshua Ethan Scholnick) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 18 Mar 2026

Under the terms of the Offer, Respondent has consented, without admitting or denying the allegations of the Complaint, and solely for the purposes of this proceeding and any other proceeding brought ...

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Disciplinary Action 2021071714201 (John Dennis Lowry, Kim Marie Monchik - Spartan Capital Securities LLC) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 18 Mar 2026

thereunder; FINRA Rule 2010 by contravening Section 17(a)(3) of the Securities Act of 1933; and FINRA Rules 2020 and 2010 (First Cause of Action) ... By failing to supervise, Spartan violated FINRA Rules 3110(a) and (b) and 2010 (Fifth Cause of Action).

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