Legal and Compiance Issues

A place to discuss the securities industry's legal landscape.
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Is it Legal?
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UBS Broker Winds Up In Jail For Illegal Internet Gambling
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2012-09-16 22:45
Edward Jones 75k training
8
2012-07-17 15:40
Brookstone
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U4-Juvenile Traffic Felony Adjudication
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Discharges U4/U5
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Looking for NY State current or former Bloomberg subscriber
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Failure to Supervise
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CFPs and bankrupcty
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working full time at RIA while having licenses elsewhere
1
2012-04-14 10:39
working full time at RIA while having licenses elsewhere
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Closing out a plan.
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Registering a new IA with the SEC
4
2012-03-18 22:03
Mediation vs. Arbitration in Promissory Note Case??
1
2012-03-08 17:41
What should I do?
3
2012-02-22 23:00
AdvisorCheck Website
[Page 1, 2]
62
2012-01-30 12:46
Advisor Check Website...
1
2012-01-24 15:59
finra u4 disclosure
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2012-01-11 23:01
Go for Arbitration or Not? Please help...
by AAA
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Clean U4/U5 and negative CRD
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by AAA
2012-01-03 11:28
working for two companies, conflict of interest This topic has been moved to conflict of interest
SEC Enforcement Chief Offers Up To Date Definition of Insider Trading
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Full Analysis by Bill Singer of Federal Court's rejection of Citigroup and SEC settlement
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Customer complains about conservative investments. Arbitrators give Wells Fargo Broker expungement
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Office Closure and Promissory Note
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2011-12-09 12:11
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