NEW FINRA MONTHLY DISCIPLINARY CASES
NOW ONLINE AND ANALYZED BY BILL SINGER

 

Regulatory lawyer Bill Singer has analyzed and posted the latest crop of FINRA disciplinary cases.  

As the financial crisis continues, many registered representatives are feeling the economic pinch. One remedy for bridging the gap appears to be borrowing from customers.  Of course, in some cases, an even better idea is to borrow and not repay. Another crop of cases reported for July 2010.  READ HERE  at http://www.rrbdlaw.com/enforcement-actions/tags.php?term=Borrowing&year=2010
They run those cute talking baby ads but what the hell is going on in their back-office? E*Trade gets hit with two regulatory actions for nearly half a million in fines.  Erroneous margin charges, refusals to accept delivery instructions, log-in problems, failures to timely respond to customer complaints, and more.  READ HERE at http://www.rrbdlaw.com/enforcement-actions/index.php?cid=1#2007009471101 and at http://www.rrbdlaw.com/enforcement-actions/index.php?cid=1#2007009471102
The securities industry touts how well tested and qualified folks are.  However, it looks like test cheating is rampant.  Is this a trend or a symptom?  READ HERE at http://www.rrbdlaw.com/enforcement-actions/tags.php?term=Testing
When some brokerage employees feel the pinch of their finances they sometimes resort to creative diversions when it comes to submitting expense vouchers.  READ HERE at http://www.rrbdlaw.com/enforcement-actions/tags.php?term=Expenses

http://www.rrbdlaw.com/enforcement-actions/index.php?cid=1

========================================================================

Don't Forget to Visit the BrokeAndBroker Blog!

http://www.brokeandbroker.com/index.php