Benjamin F. Edwards & Co. Inc.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/30/2026: Between at least October 2019 and December 2023, Benjamin Edwards failed to reasonably supervise its employees' use of text messaging and failed to preserve and review business-related text messages of registered representatives. These failures continued despite the firm being on notice of its failure to capture business-related text messages. Therefore, the firm violated Section 17(a) of the Securities Exchange Act of 1934, Exchange Act Rule 17a-4, and FINRA Rules 4511, 3110, and 2010. Between November 2018 and October 2019, the firm failed to comply with certain of its discovery obligations in an arbitration brought in FINRA's Dispute Resolution forum. Therefore, the firm violated FINRA Rule 2010. For these violations, the firm is censured and fined $750,000.
Reference 2022073836301data-portal.finra.orgfinra.org
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