Reg BI Violations | Broker Suspended

News and Alerts Introduction FINRA has suspended a Broker for 18 months due to violations of Regulation Best Interest (“Reg BI”). These violations were discovered during a FINRA Exam […]

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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 […]

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