25-00529.pdf
25-00529.pdf Anonymous (not verified) Fri, 03/06/2026 – 17:50 Case ID 25-00529 Forum FINRA Document Type Award Claimants Jonathan Elliott Respondents Merrill Lynch Pierce Fenner & Smith Inc. Neutrals Erik R. Siering Hearing Site Phoenix, AZ Award Document 25-00529.pdf Documentum DocID 78340954 Award Date Official Fri, 03/06/2026 – 12:00 Related Content Off Claimant Representatives Austin Davis […]
23-03614(2).pdf
23-03614(2).pdf Anonymous (not verified) Fri, 03/06/2026 – 17:45 Case ID 23-03614 Forum FINRA Document Type Motion to Confirm Claimants NYLife Securities LLC New York Life Insurance Company Respondents Brian Chicas Neutrals B. John Dill Hearing Site Boston, MA Award Document 23-03614(2).pdf Documentum DocID bef3b48e Award Date Official Mon, 06/03/2024 – 12:00 Related Content On Claimant […]
24-02427.pdf
24-02427.pdf Anonymous (not verified) Fri, 03/06/2026 – 17:45 Case ID 24-02427 Forum FINRA Document Type Award Claimants Brian Mariash Respondents Merrill Lynch Pierce Fenner & Smith Inc. Neutrals Theodore W. Wrobleski Andrew M. Mintzer Christopher J. Klein Hearing Site Tampa, FL Award Document 24-02427.pdf Documentum DocID 2feb6e19 Award Date Official Fri, 03/06/2026 – 12:00 Related […]
25-01501.pdf
25-01501.pdf Anonymous (not verified) Fri, 03/06/2026 – 17:45 Case ID 25-01501 Forum FINRA Document Type Award Claimants Scott Phillips Respondents Centaurus Financial, Inc. Neutrals Jim Geiger Gary E. Marcus Thomas P. Valenti Hearing Site Salt Lake City, UT Award Document 25-01501.pdf Documentum DocID b3c6f9e9 Award Date Official Fri, 03/06/2026 – 12:00 Related Content Off Claimant […]
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25-00291.pdf
25-00291.pdf Anonymous (not verified) Thu, 03/05/2026 – 14:40 Case ID 25-00291 Forum FINRA Document Type Award Claimants The Leroy And Janelle Fischer Trust Respondents Daryl Calton Calton & Associates, Inc. Neutrals Charles G. Michaels Gary L Young Anne Marie O’Brien Hearing Site Omaha, NE Award Document 25-00291.pdf Documentum DocID b58b77b5 Award Date Official Thu, 03/05/2026 […]
SR-FINRA-2025-003
SR-FINRA-2025-003 K32984 Thu, 03/05/2026 – 12:19 Rule Filing Status: Approved Rule change to amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) to increase the gift limit from $100 to $300 per person per year, provide for exemptive relief, and incorporate existing guidance and interpretive letters. The proposed rule change also would make a […]
2025088109801 David N. Cohen CRD 5083883 AWC lp.pdf
2025088109801 David N. Cohen CRD 5083883 AWC lp.pdf Anonymous (not verified) Wed, 03/04/2026 – 19:20 Case ID 2025088109801 Document Number 96be25d2 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals David N. Cohen Action Date Tue, 03/03/2026 – 12:00 Related Content Off Attachment 2025088109801 David N. Cohen CRD 5083883 AWC lp.pdf Individual CRD 5083883
2025088422001 Danish Rauf CRD 5006655 AWC lp.pdf
2025088422001 Danish Rauf CRD 5006655 AWC lp.pdf Anonymous (not verified) Wed, 03/04/2026 – 19:20 Case ID 2025088422001 Document Number 5767e81b Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Danish Rauf Action Date Wed, 03/04/2026 – 12:00 Related Content Off Attachment 2025088422001 Danish Rauf CRD 5006655 AWC lp.pdf Individual CRD 5006655
25-02317.pdf
25-02317.pdf Anonymous (not verified) Wed, 03/04/2026 – 18:50 Case ID 25-02317 Forum FINRA Document Type Award Claimants Vincent Mercaldi Respondents Charles Schwab & Co., Inc. Neutrals Stephanie E. Simmons Hearing Site Houston, TX Award Document 25-02317.pdf Documentum DocID 45dfbb4b Award Date Official Wed, 03/04/2026 – 12:00 Related Content Off Claimant Representatives Vincent Mercaldi Respondent Representatives […]
24-01858.pdf
24-01858.pdf Anonymous (not verified) Wed, 03/04/2026 – 18:50 Case ID 24-01858 Forum FINRA Document Type Award Claimants Bobbie McRae Cathy Shubert Darryl McRae Elizabeth Palompo Elvis Miller John Sims Kay Sims Lacrecha Anderson Linda Sims Margaret Mayes Marilyn Atkinson Sandra Odol Sonja Mattingley Respondents Charles Schwab & Co., Inc. TD Ameritrade Clearing, Inc. TD Ameritrade, […]
25-00638.pdf
25-00638.pdf Anonymous (not verified) Wed, 03/04/2026 – 18:50 Case ID 25-00638 Forum FINRA Document Type Award Claimants Todd Bendell Respondents Merrill Lynch Pierce Fenner & Smith Inc. Neutrals Roger A. Geddes Hearing Site Phoenix, AZ Award Document 25-00638.pdf Documentum DocID 0eb45766 Award Date Official Wed, 03/04/2026 – 12:00 Related Content Off Claimant Representatives Austin Davis […]
25-01878.pdf
25-01878.pdf Anonymous (not verified) Tue, 03/03/2026 – 18:25 Case ID 25-01878 Forum FINRA Document Type Award Claimants Juan Elwaw Respondents Morgan Stanley Neutrals Paul H. Lamboley Leon Fox Carol Maria Luttati Hearing Site Boca Raton, FL Award Document 25-01878.pdf Documentum DocID fe3d2dd2 Award Date Official Tue, 03/03/2026 – 12:00 Related Content Off Claimant Representatives Randi […]
25-00604.pdf
25-00604.pdf Anonymous (not verified) Tue, 03/03/2026 – 18:25 Case ID 25-00604 Forum FINRA Document Type Award Claimants Carolina Rida Jaafar Respondents J.P. Morgan Securities, LLC Neutrals Katherine Hendricks Mark R. Lee Neil Harvey Smith Hearing Site San Diego, CA Award Document 25-00604.pdf Documentum DocID 1f12b0dc Award Date Official Tue, 03/03/2026 – 12:00 Related Content Off […]
24-01922.pdf
24-01922.pdf Anonymous (not verified) Tue, 03/03/2026 – 18:25 Case ID 24-01922 Forum FINRA Document Type Award Claimants Morgan Stanley Respondents Gary McCarthy Kwame Adusei Neutrals David J. Pollitzer Natalie Jennifer Bordeaux Lisa A Proskin Hearing Site Albany, NY Award Document 24-01922.pdf Documentum DocID 6911daf7 Award Date Official Mon, 03/02/2026 – 12:00 Related Content Off Claimant […]
25-00727.pdf
25-00727.pdf Anonymous (not verified) Tue, 03/03/2026 – 18:25 Case ID 25-00727 Forum FINRA Document Type Award Claimants Eric Stiba Respondents Lion Street Financial, LLC Neutrals Evalyn Lipton Fishbein Debra Black Leo Jason Allen Rosner Hearing Site Dallas, TX Award Document 25-00727.pdf Documentum DocID 58dd7fc0 Award Date Official Tue, 03/03/2026 – 12:00 Related Content Off Claimant […]
24-00915.pdf
24-00915.pdf Anonymous (not verified) Tue, 03/03/2026 – 18:25 Case ID 24-00915 Forum FINRA Document Type Award Claimants Ameriprise Financial Services, LLC. Respondents Mitchell McCann LPL Financial LLC Wesley McCann Neutrals Richard C. Downing Richard Edward Rassel John Klusinske Hearing Site Detroit, MI Award Document 24-00915.pdf Documentum DocID 1826ad54 Award Date Official Tue, 03/03/2026 – 12:00 […]
24-02417.pdf
24-02417.pdf Anonymous (not verified) Mon, 03/02/2026 – 22:15 Case ID 24-02417 Forum FINRA Document Type Award Claimants Yvan Cao Respondents Edward Jones Neutrals Roger M. Deitz Randy R. Maher Donna Ross Philip Hearing Site Los Angeles, CA Award Document 24-02417.pdf Documentum DocID a558cb89 Award Date Official Mon, 03/02/2026 – 12:00 Related Content Off Claimant Representatives […]
25-00190.pdf
25-00190.pdf Anonymous (not verified) Mon, 03/02/2026 – 22:15 Case ID 25-00190 Forum FINRA Document Type Award Claimants Carson Strategic Management LLC Carson Strategic Derivatives, L.P. Respondents Marex Capital Markets Inc. Neutrals Michael David Broder Ruth M. Moore Francis Vincent Cristiano Hearing Site Denver, CO Award Document 25-00190.pdf Documentum DocID 14ac3718 Award Date Official Mon, 03/02/2026 […]
09-03564.pdf
09-03564.pdf Anonymous (not verified) Mon, 03/02/2026 – 22:15 Case ID 09-03564 Forum FINRA Document Type Award Claimants Mark D. Oge and Linda K. Oge Respondents James Cox Neutrals William John Sommers Jacqueline Mae Goldberg Lynn L. Lightfoot Hearing Site New Orleans, LA Award Document 09-03564.pdf Documentum DocID ac23d2f7 Award Date Official Mon, 03/02/2026 – 12:00 […]
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25-01450.pdf
25-01450.pdf Anonymous (not verified) Fri, 02/27/2026 – 19:00 Case ID 25-01450 Forum FINRA Document Type Award Claimants Kevin Bailey Respondents Charles Schwab & Co., Inc. Neutrals Patricia Ann Tracey Barry David Thorpe Susan L. Walker Hearing Site Phoenix, AZ Award Document 25-01450.pdf Documentum DocID 78509b13 Award Date Official Fri, 02/27/2026 – 12:00 Related Content Off […]
25-01168.pdf
25-01168.pdf Anonymous (not verified) Fri, 02/27/2026 – 19:00 Case ID 25-01168 Forum FINRA Document Type Award Claimants Karl Jones Respondents Fidelity Brokerage Services LLC Neutrals Karen Roberts Washington Hearing Site Houston, TX Award Document 25-01168.pdf Documentum DocID 9f79ac08 Award Date Official Fri, 02/27/2026 – 12:00 Related Content Off Claimant Representatives Karl Lorenzo Jones Respondent Representatives […]
25-02136.pdf
25-02136.pdf Anonymous (not verified) Fri, 02/27/2026 – 16:10 Case ID 25-02136 Forum FINRA Document Type Award Claimants Lawrence Davis Respondents E*Trade Securities LLC Neutrals William W. Haskell Hearing Site Honolulu, HI Award Document 25-02136.pdf Documentum DocID ffca5b9b Award Date Official Fri, 02/27/2026 – 12:00 Related Content Off Claimant Representatives Lawrence A. Davis Respondent Representatives Alan […]
24-02667.pdf
24-02667.pdf Anonymous (not verified) Fri, 02/27/2026 – 15:55 Case ID 24-02667 Forum FINRA Document Type Award Claimants Joseph Rallo Respondents D. Boral Capital Neutrals Kimberly C. Lawrence Harvey E. Benjamin Angela Jameson Hearing Site New York, NY Award Document 24-02667.pdf Documentum DocID ea13d48d Award Date Official Fri, 02/27/2026 – 12:00 Related Content Off Claimant Representatives […]
24-02598.pdf
24-02598.pdf Anonymous (not verified) Fri, 02/27/2026 – 15:55 Case ID 24-02598 Forum FINRA Document Type Award Claimants Alexa Marchisotto Jonathan Marchisotto Michael Marchisotto Respondents Fidelity Brokerage Services LLC Neutrals Jeffrey Alan Helewitz Howard Alan Grinsberg Kevin K Walsh Hearing Site Jersey City, NJ Award Document 24-02598.pdf Documentum DocID f89d61b2 Award Date Official Fri, 02/27/2026 – […]
25-01411(1).pdf
25-01411(1).pdf Anonymous (not verified) Thu, 02/26/2026 – 17:45 Case ID 25-01411 Forum FINRA Document Type Award Claimants Michael Norton Respondents David Lerner Associates, Inc. Neutrals Michael J. Meeusen John James McGovern Ronald Harris Kisner Hearing Site New York, NY Award Document 25-01411(1).pdf Documentum DocID d2b34e9c Award Date Official Mon, 01/05/2026 – 12:00 Related Content Off […]
25-02263.pdf
25-02263.pdf Anonymous (not verified) Thu, 02/26/2026 – 13:35 Case ID 25-02263 Forum FINRA Document Type Award Claimants Robert Cohen Respondents Stifel, Nicolaus & Co., Inc. Neutrals Ted M. Rosen Richard E. Lauziere Marilee Roberg Hearing Site New York, NY Award Document 25-02263.pdf Documentum DocID 0dbbd8a6 Award Date Official Thu, 02/26/2026 – 12:00 Related Content Off […]
25-01674.pdf
25-01674.pdf Anonymous (not verified) Thu, 02/26/2026 – 12:00 Case ID 25-01674 Forum FINRA Document Type Award Claimants Jared Hoffman Respondents Ameriprise Financial Services, LLC Neutrals James W. Kerr Robert J. Buchner Geoffrey A. Drucker Hearing Site Columbus, OH Award Document 25-01674.pdf Documentum DocID 0467e2c9 Award Date Official Wed, 02/25/2026 – 12:00 Related Content Off Claimant […]
24-02390.pdf
24-02390.pdf Anonymous (not verified) Thu, 02/26/2026 – 12:00 Case ID 24-02390 Forum FINRA Document Type Award Claimants Mark Aizenberg Timothy Johnson Respondents Wells Fargo Clearing Services, LLC Neutrals Helen Marinak Blohm Carol Ann Jensen Ralph L. Jacobson Hearing Site San Francisco, CA Award Document 24-02390.pdf Documentum DocID 80b5cd9f Award Date Official Wed, 02/25/2026 – 12:00 […]
SR-FINRA-2026-005
SR-FINRA-2026-005 K32984 Thu, 02/26/2026 – 10:33 Rule Filing Status: Filed for Immediate Effectiveness Rule change to amend FINRA Rules 6380A and 6380B regarding the operation of the FINRA/Nasdaq Trade Reporting Facility Carteret, the FINRA/Nasdaq Trade Reporting Facility Chicago, and the FINRA/NYSE Trade Reporting Facility to provide a limited, temporary exception from reporting specified overnight transactions […]
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25-00645.pdf
25-00645.pdf Anonymous (not verified) Wed, 02/25/2026 – 17:05 Case ID 25-00645 Forum FINRA Document Type Award Claimants Margaret Santiago Respondents Glenn Romer Center Street Securities, Inc. Neutrals Sidney J. Wartel Nofrey Matthew Fornaro Santarvis Brown Hearing Site Boca Raton, FL Award Document 25-00645.pdf Documentum DocID 2bdac0d6 Award Date Official Wed, 02/25/2026 – 12:00 Related Content […]
25-02104.pdf
25-02104.pdf Anonymous (not verified) Wed, 02/25/2026 – 17:05 Case ID 25-02104 Forum FINRA Document Type Award Claimants Mario Manniello Respondents Robinhood Financial, LLC. Neutrals Mark H. Schiff Hearing Site Boca Raton, FL Award Document 25-02104.pdf Documentum DocID 8221c4ee Award Date Official Tue, 02/24/2026 – 12:00 Related Content Off Claimant Representatives Mario Manniello Respondent Representatives Simeon […]
25-01146.pdf
25-01146.pdf Anonymous (not verified) Wed, 02/25/2026 – 17:05 Case ID 25-01146 Forum FINRA Document Type Award Claimants Edward Bacher Respondents Voya Financial Advisors, Inc. Neutrals F. Guthrie Castle Mary C. Davis Christopher M. McMurray Hearing Site Columbus, OH Award Document 25-01146.pdf Documentum DocID bc44fe12 Award Date Official Wed, 02/25/2026 – 12:00 Related Content Off Claimant […]
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SR-FINRA-2025-005
SR-FINRA-2025-005 K32984 Tue, 02/24/2026 – 10:24 Rule Filing Status: Approved Rule change to amend the FINRA Capital Acquisition Broker (“CAB”) Rules. Event Category Rule Filings Add to Calendar Yes All Day 1 Event Date Wed, 03/25/2026 – 10:00 – Wed, 03/25/2026 – 16:00 America/New York
DFPG Investments, LLC Comment On Regulatory Notice 26-02
DFPG Investments, LLC Comment On Regulatory Notice 26-02 fnrw-backend Mon, 02/23/2026 – 17:47 Brad Anderson UT US banderson@diversify.com DFPG Investments, LLC Regulatory Notice 26-02 Core Official Date Mon, 02/23/2026 – 12:00 Comment File DFPG Investments, LLC FINRA Comment Re_ Regulatory Notice 26-02.pdf
2023077467801 Avantax Investment Services, Inc. AWC lp.pdf
2023077467801 Avantax Investment Services, Inc. AWC lp.pdf Anonymous (not verified) Fri, 02/20/2026 – 18:05 Case ID 2023077467801 Document Number 3b3093ac Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Fri, 02/20/2026 – 12:00 Related Content Off Attachment 2023077467801 Avantax Investment Services, Inc. AWC lp.pdf
2024083942501 Kyle Lindner CRD 5421697 AWC vrp.pdf
2024083942501 Kyle Lindner CRD 5421697 AWC vrp.pdf Anonymous (not verified) Fri, 02/20/2026 – 13:15 Case ID 2024083942501 Document Number 88fd7acc Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Kyle Lindner Action Date Fri, 02/20/2026 – 12:00 Related Content Off Attachment 2024083942501 Kyle Lindner CRD 5421697 AWC vrp.pdf Individual CRD 5421697
2022073427701 J.P. Morgan Securities LLC CRD 79 AWC ks.pdf
2022073427701 J.P. Morgan Securities LLC CRD 79 AWC ks.pdf Anonymous (not verified) Thu, 02/19/2026 – 15:50 Case ID 2022073427701 Document Number a2133230 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Thu, 02/19/2026 – 12:00 Related Content Off Attachment 2022073427701 J.P. Morgan Securities LLC CRD 79 AWC ks.pdf
2023079905502 Peter Thomas Lawrence CRD 2695687 AWC ks.pdf
2023079905502 Peter Thomas Lawrence CRD 2695687 AWC ks.pdf Anonymous (not verified) Thu, 02/19/2026 – 15:35 Case ID 2023079905502 Document Number 6ec774de Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Peter Thomas Lawrence Action Date Thu, 02/19/2026 – 12:00 Related Content Off Attachment 2023079905502 Peter Thomas Lawrence CRD 2695687 AWC ks.pdf Individual CRD 2695687
22-02653.pdf
22-02653.pdf Anonymous (not verified) Thu, 02/19/2026 – 12:05 Case ID 22-02653 Forum FINRA Document Type Award Claimants Heidi Voeller Michael Voeller Respondents John Lowry Kim Monchik Spartan Capital Securities, LLC Neutrals Mark L Miller Julia Yael Ramos James Paul Young Hearing Site Bismarck, ND Award Document 22-02653.pdf Documentum DocID e6753296 Award Date Official Wed, 02/18/2026 […]
Gifts/Business Entertainment/Non-Cash Compensation FAQs
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FINRA Rule 2111 (Suitability) FAQ
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Frequently Asked Questions (FAQ) regarding Anti-Money Laundering (AML)
Frequently Asked Questions (FAQ) regarding Anti-Money Laundering (AML) DixonR Mon, 06/10/2019 – 14:23 For further information on Anti-Money Laundering requirements, please visit the FINRA Anti-Money Laundering (AML) page. General Requirements 1. What is an AML Compliance Program required to have? The Bank Secrecy Act, among other things, requires financial institutions, including broker-dealers, to develop and implement […]
Interpretations to the SEC's Financial and Operational Rules
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