August FINRA Cases: RRBDLAW.com

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Aug 26, 2008 2:18 pm

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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.


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