August FINRA Cases: RRBDLAW.com
Read Bill Singer's analyses of the noteworthy FINRA cases for August. An interesting EIA matter pops up on the regulator's screen. There is a bizarre SEC appeal that FINRA sort of sanitizes as a total win when there were aspects reversed by the federal regulator. We have one intrepid assoicate person who sent customer checks to her own address and then dabbled in a five-figure conversion. Even got an RR who forged his wife's signature on some mortgage documents.