June 05, 2026
The Financial Industry Regulatory Authority isn't immune to claims it improperly interfered with Nasdaq membership applications as it pushed two broker-dealers to settle anti-money-laundering compliance claims, the broker-dealers have argued.
January 20, 2026
The Financial Industry Regulatory Authority has accused a pair of broker-dealers of failing to investigate red flags related to underwriting foreign customers' transactions and of not disclosing certain compensation, while the firms separately sued the regulator in Illinois federal court for overreach they claim blocked them from underwriting engagements.