RRBDLAW.com: New NASD/FINRA Monthly cases
Read Bill Singer's analysis of the recent NASD/FINRA disciplinary cases. Interesting increase in escrow violations. Growing number of registration problems involving research analysts and FINOPs. Is there a reason for the explosion in borrowing-from-customer cases?
Got any new monthly cases to put out rrbdlawyer?
as always thanks for the info.
This is a good link for some with questions: