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RRBDLAW.com: Sept FINRA Cases

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Sep 25, 2008 6:23 pm

anonymous

Joined: 2005-09-29Offline

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http://www.rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2008.htm

  We're seeing an increase in cases involving borrowing from clients and private securities transactions/outside business activity violations.  Also, looks like FINRA is on a tear this month with research misconduct and research analyst violations.   http://www.rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2008.htm