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.   

Ever hear about a Client Verbal Instruction Form? See how one enterprising broker used that document to transfer customer funds to his own family member -- and not with the client's authorization.  READ HERE Bet you didn't know that all it took for a broker to obtain credit cards attached to your bank account was one, simple, lousy, little-old phone call to the bank.  Think I'm kidding?  READ HERE Elderly clients are increasingly falling prey to brokers.  Consider this one case.  READ HERE Why would a broker keep customer-signed blank medical history questionnaires in his desk? READ HERE Sometimes no matter what you do, you can't win. Imagine that you hire a third-party vendor to oversee certain account computations. Now, imagine that the vendor experienced a software glitch. How does that become your problem? READ HERE You know that FOREX trading program that you want to offer your clients?  You better read this first. READ HERE

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