Legal and Compiance Issues

A place to discuss the securities industry's legal landscape.
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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]
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2012-01-29 03:16
Advisor Check Website...
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finra u4 disclosure
2
2012-01-11 23:01
Go for Arbitration or Not? Please help...
by AAA
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Clean U4/U5 and negative CRD
2
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
2
2011-12-06 21:50
One went to an interview with the national football media
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Sponsored for 7 and have my own portfolio... Any problems?
1
2011-11-04 10:05
Broker's Casino Marker Gets Him Suspended and Disqualified
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Hermes Cowhide Cabag Weekender Bag
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FINRA Bars Broker For Fraud In Paying Daughter's College Tuition
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