RRBDLAW.com: New NASD/FINRA Monthly cases

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Sep 17, 2007 1:11 pm

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?


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



Oct 24, 2007 7:56 am

Got any new monthly cases to put out rrbdlawyer?

 
as always thanks for the info.
 
This is a good link for some with questions:
 
 
http://finra.complinet.com/finra/display/display.html?rbid=1189&elementid=1159000034