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Financial Industry Regulatory Authority
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2025
Financial Industry Regulatory Authority Enforcement Actions — 2025
Showing 1–3 of 3 cases
Case Name
Outcome
Penalty
Date Filed
In the Matter of Pecoraro
Pending
—
Dec 2025 · FINRA
In the Matter of Pecoraro
Pending
—
Dec 2025
FINRA v. Spartan Capital Securities, LLC
Pending
—
Nov 2025 · FINRA
FINRA v. Spartan Capital Securities, LLC
Pending
—
Nov 2025
In the Matter of Schmidt
Pending
—
Nov 2025 · FINRA
In the Matter of Schmidt
Pending
—
Nov 2025