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Data Sources

Data sourced from official agency press releases: DOJ, SEC, FTC, CFPB, FINRA, and state attorneys general.

© 2026 VerdictStats. All data from official government sources.

Financial Industry Regulatory Authority Statistics

163

Total Cases

$18.7M

Total Penalties

$228K

Average Penalty

Settled

Most Common Outcome

Cases by Year

Recent Cases

In the Matter of Danish RaufSettled—— · FINRA

In the Matter of Danish RaufSettled——

FINRA In the Matter of Stash Capital LLCSettled$450K— · FINRA

FINRA In the Matter of Stash Capital LLCSettled$450K—

FINRA v. William Steven CookeSettled—— · FINRA

FINRA v. William Steven CookeSettled——

In the Matter of Anthony SicaSettled—— · FINRA

In the Matter of Anthony SicaSettled——

In the Matter of Avinesh K. ShankarSettled—— · FINRA

In the Matter of Avinesh K. ShankarSettled——

In the Matter of ScholnickSettled—— · FINRA

In the Matter of ScholnickSettled——

In the Matter of Roger Allan RoemmichSettled—— · FINRA

In the Matter of Roger Allan RoemmichSettled——

FINRA v. Justin KimSettled—— · FINRA

FINRA v. Justin KimSettled——

In the Matter of David Nathan CohenSettled—— · FINRA

In the Matter of David Nathan CohenSettled——

In the Matter of Chapin Davis, Inc.Settled$45K— · FINRA

In the Matter of Chapin Davis, Inc.Settled$45K—

View all Financial Industry Regulatory Authority cases →