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The tale of the recidivist broker

USA - June 29 2017 The CEO of FINRA recently announced that FINRA plans to provide firms with additional resources to deal with recidivist brokers. So what does this…

What are you doing about outside business disclosures?

USA - May 31 2017 FINRA is currently reviewing its rules regarding outside business activities and private securities transactions. From time to time, FINRA reviews…

You better watch your suitability determinations

USA - April 26 2017 The SEC recently announced that it charged a former broker with knowingly or recklessly trading unsuitable investment products for five customers and…

Pastor fraud, say it isn’t so

USA - April 3 2017 The SEC recently announced fraud charges, and sought an emergency asset freeze against a pastor who was accused of exploiting church members…

So I guess it is all about the seniors

USA - March 23 2017 FINRA recently introduced Rule 2165 and amended Rule 4512. Both rules reflect a growing trend to provide greater protection to seniors...