RRBDLAW: October FINRA cases

or Register to post new content in the forum

 

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Nov 13, 2007 11:57 am

_popupControl();

Read Bill Singer's analysis of the recent NASD/FINRA disciplinary cases.  Still seeing an increase in escrow account problems.  Interesting pick-up in improper sales of promissory notes.  Read Bill's diatribe about the $75,000 fine imposed on a member firm where RRs intentionally used an external server for business emails.


http://www.rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2007 .htm