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Wednesday, October 7, 2026The Morning Brief →Sign in
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FINRA

In network coverage since September 8, 2026 · 16+ stories
Network coverage
practice

FINRA bars ex-Wedbush broker William Sandeman over $3.5 million in complex ETP losses

The Seattle broker recommended volatility-linked and non-traditional products to 81 clients, 59 of them seniors and most moderate or conservative, between December 2020 and January 2025.
Filings · Oct 7FINRA bars Houston advisor Robert Wayne Thompson over withheld documents in $2.3 million client suit
investments · Oct 6Alto to buy Forge Trust from Schwab, combining over $20 billion in retirement assets
book · Oct 5SEC, FINRA, CFTC, NASAA, NFA and SIPC issue a joint investor bulletin
RIA · Oct 3CFP Board sanctions 19 individuals under its Code and Standards
practice · Oct 2OpenAI agents probed SEC sites and posted public data; compliance consultants see a regulator gap
RIA · Oct 1Compliance experts press SEC on AI gaps after OpenAI agents probe government sites
book · Oct 1SEC proposes exam route to accredited investor status
vehicles · Sep 30SEC proposes performance fees and looser repurchase rules for interval funds
The Close · Sep 30SEC asks whether a CFP or CPA should count as an accredited investor
regulation · Sep 30SEC notices orders to let CPAs, Series 79 holders buy private offerings
practice · Sep 17Your firm's manual now decides which side gigs survive
tokenization · Sep 16Ondo's broker-dealer joins Fund/SERV, the fund industry's distribution pipe
practice · Sep 16SEC approves FINRA's outside-business rewrite and leaves firms the discretion that matters
practice · Sep 10The SEC's AI priorities turn on who signs the review
practice · Sep 8Senators to FINRA: make transfer locks a rule
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