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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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TRACE Allocations (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 05 Feb 2026
Beginning Monday, June 8, 2026, as described in Regulatory Notice 25-17, FINRA will introduce a new "Allocations" field across all TRACE products ... FINRA has updated the below documentation to reflect the change.
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Kim Chapman Elected Chair of FINRA's National Adjudicatory Council

PR Newswire 05 Feb 2026
She is also a member of FINRA's Midwest Regional Committee ... "As we collaborate with FINRA, our responsibility to review disciplinary decisions and membership proceedings is more critical than ever ... For more information, visit www.finra.org.
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Disciplinary Action 2022074307401 (Jeyakumar Nadarajah) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 05 Feb 2026
In connection with FINRA's investigation of certain trading practices by certain traders at a FINRA member firm, FINRA issued a FINRA Rule 8210 request for testimony to Nadarajah ... to FINRA Rule 8210.
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Disciplinary Action 2025086765401 (William Bryan) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 05 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 2023077131501 (Arkadios Capital, LLC) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 05 Feb 2026
Financial Industry Regulatory Authority (FINRA) ... This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
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Update - Treasury/ORF Port Disconnect After System Open (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 04 Feb 2026
FINRA has resolved the issue that caused some TRACE Treasury and ... FINRA - Financial Industry Regulatory Authority Inc.
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Disciplinary Action 2024083885501 (Thomas Lansing) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 04 Feb 2026
Financial Industry Regulatory Authority (FINRA) ... This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC ... FINRA.
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Disciplinary Action 2021069229101 (Gilbert A. Rodriguez Jr.) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 04 Feb 2026
Financial Industry Regulatory Authority (FINRA) ... FINRA Rule 4511 requires FINRA members to make and preserve books and records as required under FINRA rules, the Securities Exchange Act of 1934, and applicable Exchange Act Rules ... Accepted by FINRA..
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Financial Security in 2026: Tips for Investors and How Firms Can Help (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 03 Feb 2026
) Financial security is about more than just building wealth ... [...]. This is an abstract of the document ... Disclaimer. FINRA - Financial Industry Regulatory Authority Inc.
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Disciplinary Action 2020065592401 (Velocity Capital, LLC) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 03 Feb 2026
Financial Industry Regulatory Authority (FINRA) ... This matter originated from a regulatory tip to FINRA ... A violation ofExchange Act § 17(a), Exchange Act Rule 17a-4, FINRA Rule 4511, and FINRA Rule 3110 also is a violation ofFINRA Rule 2010.
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Disciplinary Action 2025085924401 (Ronny Cruz) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 02 Feb 2026
Cruz refused to provide information and documents requested by FINRA pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010.

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