RRBDLAW: October FINRA cases

No replies
Anonymous's picture
Anonymous

_popupControl();

Read Bill Singer's analysis of the recent NASD/FINRA disciplinary cases.  Still seeing an increase in escrow account problems.  Interesting pick-up in improper sales of promissory notes.  Read Bill's diatribe about the $75,000 fine imposed on a member firm where RRs intentionally used an external server for business emails.
http://www.rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2007 .htm
 

Please or Register to post comments.

Industry Newsletters
Investment Category Sponsor Links

 

Careers Category Sponsor Links

Sponsored Introduction Continue on to (or wait seconds) ×