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.
2025085030301 Jacob Lee Harper CRD 4258319 AWC lp (2025-1765498798994).pdf
Between November 2024 and January 2025, Harper violated FINRA Rules 3240 and
2010 by borrowing $50,000 from two customers without seeking or obtaining prior
written approval from his firm.
2023077051701 Piper Sandler & Co. CRD 665 AWC vr (2025-1765412398007).pdf
Between January 2022 and December 2023, Piper Sandler published public quarterly reports on its handling of customers’ orders in National Market System (NMS) securities that overstated statistical information related to options orders and failed to adequately describe its arrangements for payment for order flow and profit-sharing relationships with certain execution venues.
2023078515101 Ibrahim E. Kurtulus CRD 2287372 AWC vr (2025-1765412395775).pdf
Between November 2020 and August 2024, while associated with Joseph Stone, Kurtulus held a beneficial interest in two brokerage accounts maintained at other member firms without obtaining prior written consent from Joseph Stone. As a result, Kurtulus violated FINRA Rules 3210 and 2010.
For these violations, Kurtulus is suspended for two months in all capacities and fined $2,500...
2018056490334 Ronald G. Smith CRD 6038062 AWC vr (2025-1765412395838).pdf
Smith refused to provide information and documents requested pursuant to FINRA Rule 8210. As a result, Smith violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...
FINRA Certified Regulatory and Compliance Professional (CRCP)® Program
Update: FINRA is accepting applications for the Small Firm CRCP® Scholarship, now through Monday, August 24, 2026.-->
Information Notice 11/10/25
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2026 or the first quarter of 2027. FINRA reminds members that all such filings they submit to FINRA must be made electronically through FINRA Gateway.