In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from July 2025.

In July 2025:

As part of its FINRA Forward program, FINRA CEO Robert Cook announced a new initiative aimed at ensuring that FINRA’s enforcement process is fair, transparent, and consistent.

FINRA settled charges with a broker-dealer for $85,000 for allegedly failing to clearly disclose that retail crypto offerings were provided through an unregistered affiliate and for not fairly presenting the risks and benefits of those products.

The US Securities and Exchange Commission (SEC or Commission) announced settled charges with an investment adviser and its former compliance officer and former president for allegedly failing to disclose conflicts of interest, ove

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