Failure of Properly Implementing WSPs | FINRA Fine

FINRA Introduction A FINRA Firm was recently disciplined for failures to properly implement WSPs that would adequately review the electronic communications of its registered representatives. Without admitting or denying […]

Read More

FINRA Fines Well Known Brokerage Firm $1.1 Million For Phone Record Failures

News & Alerts Brief Introduction FINRA fined a well known Brokerage Firm in December for failing to properly disclose their record keeping policies and promptly alert FINRA […]

Read More