FINRA Enforcement & Investor Protection

FINRA Arbitration Attorney: The Path Investors Use to Recover Losses From Broker Misconduct

Jeffrey Sonn
Feb 12, 2026
#broker misconduct attorney - #FINRA arbitration attorney - #FINRA arbitration lawyer - #investment loss recovery - #recover investment losses FINRA - #securities arbitration lawyer - #unsuitable investment arbitration

When an investment turns south, the first thing most people feel is a knot in their stomach. But there is a significant difference between “bad[...]

FINRA Fines Broker-Dealer Over Regulation Best Interest Failures: What Investors Should Know About Supervisory Breakdowns

Jeffrey Sonn
Feb 10, 2026
#broker dealer supervision failures - #FINRA enforcement action - #investor protection FINRA - #Reg BI violations - #Regulation Best Interest - #unsuitable investment recommendations

In a recent enforcement action, the Financial Industry Regulatory Authority (FINRA) sanctioned a broker-dealer for violations tied to Regulation Best Interest (Reg BI), the federal[...]

FINRA Suspends 39-Year Veteran Over $100,000 in Unnecessary Fees

Jeffrey Sonn
Feb 10, 2026
#broker misconduct FINRA - #excessive investment fees - #FINRA suspension advisor - #investment loss recovery - #Regulation Best Interest violation - #unsuitable investment recommendations

Regulators do not suspend four-decade veterans lightly. When they do, it commonly signals a failure to adapt to modern investor safeguard standards. A recent enforcement[...]