2025086101601 Jay D. Zornes CRD 4124536 AWC lp.pdf

Zornes refused to provide information and documents requested by FINRA pursuant to FINRA Rule 8210 in connection with a FINRA investigation into whether he used unapproved channels to communicate with Cambridge customers. Zornes also refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210 in connection with FINRA's investigation. As a result, Zornes violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

SR-FINRA-2026-001

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 3290 (Outside Activities Requirements) and to delete existing FINRA Rules 3270 (Outside Business Activities of Registered Persons) and 3280 (Private Securities Transactions of an Associated Person). The amended requirements focus on outside activities appropriately within members’ purview that potentially present heightened risks for members and the public.

2021069219701 BNP Paribas Securities Corp. CRD 15794 AWC vrp.pdf

From October 2019 to April 2024, BNPS failed to report 842 over-the-counter (OTC) options positions to the Large Options Positions Reporting (LOPR) system in 167,520 instances in violation of FINRA Rules 2360(b)(5) and 2010. In addition, from October 2019 to April 2025, BNPS failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rule 2360 in violation of FINRA Rules 3110 and 2010. For these violations, the firm agrees to a censure and a fine of $125,000...
Subscribe to