FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.
24-01769.pdf
Award
25-00343.pdf
Expungement Award
25-01804(2).pdf
Motion to Vacate Arbitration Award
SR-FINRA-2026-003
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to adopt FINRA Rule 7660B (FINRA/NYSE Trade Reporting Facility Fees For Non-Participants) to establish a new fee applicable to FINRA members that do not use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”) for trade reporting but elect to purchase specified services.
2025088525001 Lyhen Fiallo CRD 4579582 AWC lp.pdf
Fiallo refused to provide documents and information requested pursuant to FINRA Rule
8210. As a result, she violated FINRA Rules 8210 and 2010 and is barred from
associating with any FINRA member in all capacities.
2021069391001 TPEG Securities, LLC CRD 146726 AWC lp.pdf
Between September 2018 and May 2024, TPEG distributed certain communications with
the public that included projected investment performance and violated FINRA Rules
2210(d) and 2010.
During the same period, TPEG violated FINRA Rules 4530, 3110 and 2010, and Article
V, Section 2(c) of FINRA’s By-Laws, by failing to report certain customer complaints
and by failing to establish and maintain a supervisory system, including written
supervisory procedures, reasonably designed to achieve compliance with its customer
complaint reporting obligations.
For these violations, TPEG is censured and fined $1