FINRA Disciplinary Actions

FINRA Disciplinary Actions are formal measures taken by the Financial Industry Regulatory Authority (FINRA) when securities professionals violate rules or ethical standards. These penalties can include fines, suspension, or banning individuals or firms from industry activities. Such actions help maintain trust and integrity in the securities industry by addressing misconduct, protecting investors, and ensuring fair practice. When a violation occurs—like fraud, misrepresentation, or failure to comply with regulations—FINRA investigates and, if needed, enforces disciplinary measures to uphold industry standards.