Legal and Compiance Issues

A place to discuss the securities industry's legal landscape.
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how to clean a U4/U5
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U4 Disclosure
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Is it Legal?
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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
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Closing out a plan.
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Advisor Check Website...
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Go for Arbitration or Not? Please help...
by AAA
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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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One went to an interview with the national football media
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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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Former Lehman Employee Notches First Win Against Promissory Note Collection in Arbitration
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FINRA arbitrators find stockbroker was defamed
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Federal Court Rules FINRA Can't Collect Fines -- Landmark Case from Bill Singer
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Possible unfair treatment at work
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Non Solicitation clause - joining client company
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