Ernest Domenic Kappotis departed as FINOP from four broker-dealers in a single filing cycle — a textbook rent-a-27 operation spanning 22 firms over 16 years. MissionSquare Wealth Management loses its CCO. Purshe Kaplan Sterling loses its COO. Two FINRA enforcement actions.
FINRA sanctions JPMS for four years of supervisory failures. FDIC finalizes rule banning reputation risk from bank examinations. Criminal disclosure at Dew Wealth Strategies. Bank of Canada's Rogers on stability.
528 events — the highest single-day count this quarter. 17 new firms register with CIRO including US-based Highbridge Capital and Nuveen. BMO moves 117 registrations. Wealthsimple shifts 23 to its CIRO broker-dealer arm. 37 RIAs graduate.
Huntington promotes board member to President, elevates FINOP to CFO. JB Drax Honore' replaces combined CEO/CCO with interim. Jump Trading swaps ABN AMRO clearing entities. 30 RIAs graduate, 5 fail.
USAA loses its President, Vice-Chairman, and three directors. NBC Financial hires three Managing Directors. Key Investment rebrands to Key Wealth. Goldman Sachs registers new MPID. 34 RIAs graduate.
One hundred broker-dealers filed annual FOCUS reports with the SEC, none disclosing material weaknesses. Twenty-eight advisory firms graduated and 11 RIA firms rebranded.
FinCEN proposed a landmark rule to establish a whistleblower payment program targeting illicit finance. 32 advisory firms graduated to full SEC registration.
B. Riley Securities moved its principal office from Los Angeles to Arlington, Virginia. Allianz Life Financial Services was reclassified from medium to large.
Acropolis rebrands with 36 advisors, SimplyRIA launches with 19, and Blue Heron Capital completes SEC registration in 64 days.
BTIG fined $600K for off-channel communications, Goldman Sachs Custody Solutions reshuffles leadership, and 30 RIA graduations led by New York.
Canaccord Genuity parent CEO takes direct control of U.S. subsidiary after $80M FinCEN penalty. FINRA fines Aegis $400K.
Citadel Securities adds Fenergo for KYC across both broker-dealer entities. 26 RIA graduations led by New York.
Causeway Securities replaces CEO, and 27 RIA graduations set a new single-day record with Musaffa bringing Shariah-compliant investing to SEC registration.
Securian splits CEO and CCO roles, Oddo BHF elevates CCO to lead U.S. operations.
FINRA fines Stash Capital for AML failures and bars a broker. Kestra overhauls its C-suite.
Mariner Wealth executed the largest single-day advisor migration of 2026, rebranding to Mariner, LLC and moving 925 registered representatives.
March 20 set the month's record with 191 events including 44 advisor moves, the Federal Reserve enforcing against Ally Bank and Regions Bank employees, FINRA barring two brokers, a...
Federal banking agencies requested comment on proposals to modernize the regulatory capital framework, the FDIC rescinded its failed bank acquisition policy, and the CFTC signed a ...
FINRA filed a fraud complaint against Spartan Capital Securities, its CEO John Lowry, and its former CCO for defrauding customers holding restricted pharmaceutical shares, and sanc...
The CFTC joined the SEC to clarify the application of federal securities laws to crypto assets and issued a no-action letter, while FINRA barred a broker for non-cooperation and 24...
The Federal Reserve prohibited a Regions Bank employee from banking for misappropriating customer funds, the CFTC appointed its first Chief Data Officer, and 17 advisory firms comp...
Principal Funds Distributor promoted its chief compliance officer to president, Academy Securities restructured its financial operations, and 14 advisory firms completed SEC regist...
A record 47 investment advisors changed firm affiliations in the largest single-day movement of 2026 so far, while Vanguard Marketing Corporation restructured its board and Nasdaq ...
FINRA sanctioned Arcadia Securities for conducting business on three days while failing to maintain minimum net capital and for supervision failures spanning 18 months, while the F...
The CFTC issued an advanced notice of proposed rulemaking on prediction markets regulation, the Fed approved Home BancShares' acquisition application, and the Fed announced its tra...