• Jacob Lee Harper Suspended by FINRA for Improper Customer Loans
  • FINRA Expels Reid & Rudiger LLC and Bars Co-Founders Over Egregious Churning and Reg BI Violations
  • Great Point Capital Sanctioned by FINRA Over Private Placement Communications and Supervision
  • Axos Clearing Ordered to Pay $40.7M in Worden Capital Case: Why Clearing Firm Liability Matters for Investors
  • FINRA Expels Reid & Rudiger, Bars Founders After Churning Scheme Caused $2.7 Million in Customer Losses
  • FINRA March 2026 Disciplinary Actions Reveal Widespread Reg BI Failures, Private Placement Risks, and Supervisory Breakdowns