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RRBDLAW: October FINRA cases

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Nov 13, 2007 4:57 pm

anonymous

Joined: 2005-09-29Offline

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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