Financial Industry Regulatory Authority (FINRA) - Disciplined Firms
The Financial Industry Regulatory Authority (FINRA) oversees brokerage firms and exchange markets to ensure fair practices. The Disciplined Firms list comprises broker-dealers that have faced significant disciplinary actions.
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8 Entities in Financial Industry Regulatory Authority (FINRA) - Disciplined Firms
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
Sandlapper Securities LLC | Company | Jan 16, 2023 | inactive |
Fusion Analytics Securities LLC | Company | Jan 16, 2023 | inactive |
Portfolio Advisors Alliance LLC | Company | Jan 16, 2023 | inactive |
DreamFunded Marketplace LLC | Company | Jan 16, 2023 | inactive |
Worden Capital Management LLC | Company | Jan 16, 2023 | active |
SW Financial LLC | Company | May 16, 2023 | active |
Cantone Research Inc | Company | Mar 28, 2024 | active |
Monmouth Capital Management LLC | Company | Jul 7, 2023 | active |
FAQs
Why is compliance with Financial Industry Regulatory Authority (FINRA) - Disciplined Firms necessary?
Compliance with the Financial Industry Regulatory Authority (FINRA) Disciplined Firms list is crucial for professionals in the financial industry. This list includes firms that have faced disciplinary actions due to rule violations. Understanding and adhering to this list helps maintain the integrity and trustworthiness of the financial markets.
Which companies should comply with Financial Industry Regulatory Authority (FINRA) - Disciplined Firms?
The Financial Industry Regulatory Authority (FINRA) requires compliance from firms in the financial services industry, including broker-dealers, investment advisors, and other financial institutions. These firms must adhere to FINRA regulations to maintain market integrity, protect investors, and avoid legal penalties. Ensuring compliance helps promote transparency and trust in financial markets, which is essential for a stable economy.
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