BREAKING: The SEC and FINRA are investigating suspicious stock trades reported to be insider trading in companies that announced adding crypto treasuries.
September 28, 2025 at 12:35 AM
BREAKING: The SEC and FINRA are investigating suspicious stock trades reported to be insider trading in companies that announced adding crypto treasuries.
I’m sure the SEC and/or FINRA would like to know…or has everyone been fired?
April 10, 2025 at 3:36 AM
I’m sure the SEC and/or FINRA would like to know…or has everyone been fired?
the absolute biggest failing of the SEC and FINRA since 2008 was not immediately treating crypto like penny stocks
200 years of learning how to regulate banks and securities in America and we’re about to set it all on fire because crypto is innovative. The innovation is: no regulation.
January 16, 2025 at 8:28 PM
the absolute biggest failing of the SEC and FINRA since 2008 was not immediately treating crypto like penny stocks
FTC / FINRA: "You did fucking WHATNOW-"
DocuSign now says they'll be using your data* to train AI. *Anonymized. But that's not really a thing.
DocuSign makes software to sign documents online. All types of contracts and other docs use this service now.
Info:
support.docusign.com/s/document-i...
DocuSign makes software to sign documents online. All types of contracts and other docs use this service now.
Info:
support.docusign.com/s/document-i...
March 1, 2024 at 2:16 AM
FTC / FINRA: "You did fucking WHATNOW-"
Good guess but I don't think he's FINRA registered
May 15, 2026 at 4:43 PM
Good guess but I don't think he's FINRA registered
This week I reported Don Jr & Eric Trump own shares in New America Acquisition I Corp. which plans IPO led by Dominari Holdings & D. Boral to raise $300M
newstracs.com/don-jr-and-e...
This week FINRA censured & fined D. Boral $125,000 for Jul 2020-May2024 violations
fxnewsgroup.com/forex-news/r...
newstracs.com/don-jr-and-e...
This week FINRA censured & fined D. Boral $125,000 for Jul 2020-May2024 violations
fxnewsgroup.com/forex-news/r...
August 7, 2025 at 6:57 PM
This week I reported Don Jr & Eric Trump own shares in New America Acquisition I Corp. which plans IPO led by Dominari Holdings & D. Boral to raise $300M
newstracs.com/don-jr-and-e...
This week FINRA censured & fined D. Boral $125,000 for Jul 2020-May2024 violations
fxnewsgroup.com/forex-news/r...
newstracs.com/don-jr-and-e...
This week FINRA censured & fined D. Boral $125,000 for Jul 2020-May2024 violations
fxnewsgroup.com/forex-news/r...
Classic Miami experience. Cut off in traffic by a Cybertruck. Google the website on the license plate to find a private-jet brokering business owned by a guy with a lifetime FINRA bar after being convicted of securities fraud.
February 15, 2026 at 4:49 PM
Classic Miami experience. Cut off in traffic by a Cybertruck. Google the website on the license plate to find a private-jet brokering business owned by a guy with a lifetime FINRA bar after being convicted of securities fraud.
BREAKING: The SEC will scrap the $25,000 balance to engage in day trading, per FINRA
April 14, 2026 at 10:08 PM
BREAKING: The SEC will scrap the $25,000 balance to engage in day trading, per FINRA
Learning why FINRA exists from first principles
February 14, 2025 at 6:10 PM
Learning why FINRA exists from first principles
BREAKING: Goldman Sachs, $GS, will pay a $1.45 million civil fine to settle a inaccurate reporting for billions of stock trades.
FINRA said that coding errors at Goldman led to inaccurate reporting of 36.6 billion trades to the CAT Central Repository, which helps the regulator monitor markets.
FINRA said that coding errors at Goldman led to inaccurate reporting of 36.6 billion trades to the CAT Central Repository, which helps the regulator monitor markets.
May 14, 2025 at 5:34 PM
BREAKING: Goldman Sachs, $GS, will pay a $1.45 million civil fine to settle a inaccurate reporting for billions of stock trades.
FINRA said that coding errors at Goldman led to inaccurate reporting of 36.6 billion trades to the CAT Central Repository, which helps the regulator monitor markets.
FINRA said that coding errors at Goldman led to inaccurate reporting of 36.6 billion trades to the CAT Central Repository, which helps the regulator monitor markets.
Again, in this clip when Carney mentions the FINRA example, he means AI companies self-regulating. (FINRA is private, industry-financed self-regulation...that the regulated financial firms fight back against.)
Why? Because you wouldn't want to stifle innovation & "legislation takes time."
#CdnPoli
Why? Because you wouldn't want to stifle innovation & "legislation takes time."
#CdnPoli
September 14, 2026 at 5:34 PM
Again, in this clip when Carney mentions the FINRA example, he means AI companies self-regulating. (FINRA is private, industry-financed self-regulation...that the regulated financial firms fight back against.)
Why? Because you wouldn't want to stifle innovation & "legislation takes time."
#CdnPoli
Why? Because you wouldn't want to stifle innovation & "legislation takes time."
#CdnPoli
Two units of Robinhood Markets agree to pay $26 million to settle Finra allegations that it failed to respond to red flags about potential misconduct and didn’t verify the identities of thousands of customers
Robinhood to Pay $26 Million to Settle Finra Allegations
Two units of Robinhood Markets Inc. agreed to pay $26 million to settle Financial Industry Regulatory Authority allegations that it failed to respond to red flags about potential misconduct and didn’t...
www.bloomberg.com
March 8, 2025 at 2:13 AM
Two units of Robinhood Markets agree to pay $26 million to settle Finra allegations that it failed to respond to red flags about potential misconduct and didn’t verify the identities of thousands of customers
can someone with more than one brain cell explain what the fuk this means
www.cnbc.com/2025/06/30/r...
www.cnbc.com/2025/06/30/r...
July 2, 2025 at 11:08 PM
Jordan Belfort heading up FINRA I hear
November 14, 2024 at 12:52 PM
Jordan Belfort heading up FINRA I hear
Imagine working at FINRA ahead of the looming 3-year anniversary of the $MMTLP clown show. Baggies still demanding their rEzoLuTioN. @shorty-ocelot.bsky.social @tiggersdad.bsky.social
November 27, 2025 at 1:41 PM
Imagine working at FINRA ahead of the looming 3-year anniversary of the $MMTLP clown show. Baggies still demanding their rEzoLuTioN. @shorty-ocelot.bsky.social @tiggersdad.bsky.social
first up, METR is only ever floated as a regulator in regards to how FINRA is a regulator
FINRA is not a government agency, and they also have deep social ties to the finance industry
just like METR
FINRA is not a government agency, and they also have deep social ties to the finance industry
just like METR
September 17, 2026 at 12:53 PM
first up, METR is only ever floated as a regulator in regards to how FINRA is a regulator
FINRA is not a government agency, and they also have deep social ties to the finance industry
just like METR
FINRA is not a government agency, and they also have deep social ties to the finance industry
just like METR
I keep waiting for Elon's broccoli boys to hit FINRA then I remembered that if FINRA is not actually part of the government and that there's no way any of them know it exists
February 5, 2025 at 10:01 PM
I keep waiting for Elon's broccoli boys to hit FINRA then I remembered that if FINRA is not actually part of the government and that there's no way any of them know it exists
Dominari Securities, the subsidiary of Dominari Holdings, where Trump's sons Eric and Don Jr are advisors, is approved by FINRA to expand operations - in AI areas including data centers, renewable energy, nuclear & small modular reactors, quantum computing
www.prnewswire.com/news-release...
www.prnewswire.com/news-release...
Dominari Securities Receives FINRA Approval to Expand Operations
/PRNewswire/ -- Dominari Holdings Inc. (Nasdaq: DOMH) (the "Company") today announced that its wholly-owned subsidiary, Dominari Securities LLC ("Dominari"),...
www.prnewswire.com
March 5, 2025 at 1:59 PM
Dominari Securities, the subsidiary of Dominari Holdings, where Trump's sons Eric and Don Jr are advisors, is approved by FINRA to expand operations - in AI areas including data centers, renewable energy, nuclear & small modular reactors, quantum computing
www.prnewswire.com/news-release...
www.prnewswire.com/news-release...
‘One of the telltale signs of an asset price bubble is high margin debt among institutional and retail investors. Check. FINRA reported that margin debt provided by broker-dealers hit $1.3 trillion for the first time in April, up 53% from a year ago.’ sakonnetresearch.com/margin-debt-...
May 14, 2026 at 4:46 PM
‘One of the telltale signs of an asset price bubble is high margin debt among institutional and retail investors. Check. FINRA reported that margin debt provided by broker-dealers hit $1.3 trillion for the first time in April, up 53% from a year ago.’ sakonnetresearch.com/margin-debt-...
I guess the upside of waking up at 4:30 am panicking that I missed a 12/23 Finra investigation response deadline is realizing I have no such matter pending. The last Finra investigation I handled concluded in 2018.
December 29, 2024 at 10:54 AM
I guess the upside of waking up at 4:30 am panicking that I missed a 12/23 Finra investigation response deadline is realizing I have no such matter pending. The last Finra investigation I handled concluded in 2018.
Fail fast and break things without robust governance is the recipe for disaster. Mature organizations have robust governance and rigorous testing, especially with other people’s money. It’s why FINRA has customer protection rules! This is not a game. bsky.app/profile/busr...
Did they do it via systematic entries they can’t figure out how to reverse? Did they modify or disable code with no rollback strategy. It never occurred to them that they’d have to reverse or revert, so had no solid deployment plan or change management. Amateurs! Adults will have to clean up.
February 27, 2025 at 3:10 PM
Fail fast and break things without robust governance is the recipe for disaster. Mature organizations have robust governance and rigorous testing, especially with other people’s money. It’s why FINRA has customer protection rules! This is not a game. bsky.app/profile/busr...
Watch out. This has happened everytime before thr bubble burst…https://www.advisorperspectives.com/dshort/updates/2025/09/16/margin-debt-finra-rises-new-record-high-august-2025
Margin Debt Rises 3.6% to New Record High in August
Margin debt reached a new all-time high of $1.06 trillion in August, according to the latest data from FINRA. This represents a 3.6% rise from July and marks the fourth straight monthly increase.
www.advisorperspectives.com
September 22, 2025 at 1:41 AM
Watch out. This has happened everytime before thr bubble burst…https://www.advisorperspectives.com/dshort/updates/2025/09/16/margin-debt-finra-rises-new-record-high-august-2025
FINRA Fines And Suspends Merrill Lynch Rep for Check Kiting - BrokeAndBroker.com
www.brokeandbroker.com
March 5, 2025 at 12:08 AM
The SEC is the lord and FINRA is his prophet.
July 6, 2025 at 4:22 AM
The SEC is the lord and FINRA is his prophet.