FINRA Publishes 2025 Regulatory Oversight Report

WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs that member firms can use throughout the year to strengthen their compliance programs. The report reflects FINRA’s commitment to providing transparency to member firms and the investing public about its regulatory observations and activities.

2020066609201 G1 Execution Services, LLC CRD 111528 AWC gg (2025-1740615596353).pdf

Between January 2020 and February 2021, G1X failed to timely report a total of 1,618,525 transactions in National Market System (NMS) securities to the Nasdaq Trade Reporting Facility and the NYSE Trade Reporting Facility, in violation of FINRA Rules 6380A(a), 6380B(a), and 2010. Between December 2020 and February 2021, G1X also failed to timely report 125,446 transactions in over-the-counter (OTC) securities to the Over-the-Counter Trade Reporting Facility, in violation of FINRA Rules 6622(a) and 2010.

2022073418601 Joseph Arthur Ondris CRD 1782322 AWC gg (2025-1740615596354).pdf

From November 2015 through June 2023, while associated with Titan, Ondris used an unauthorized personal email account to send and receive securities-related business communications to firm customers. Ondris did not provide copies of the emails to Titan and thereby prevented Titan from preserving the emails as required by Section 17(a) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-4(b)(4). By causing Titan to maintain incomplete books and records, Ondris violated FINRA Rules 4511 and 2010 and is suspended for one month and fined $5,000.
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