RRBDLAW.com: New FINRA Cases
Jun 5, 2008 11:28 am
http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2008.htm
The May FINRA disciplinary actions are now analyzed online by Bill Singer at RRBDLAW.com. Note the significant case involving a broker-dealer's self-directed offering, and how it was mishandled. One RR referred clients to an insurance agent and got in trouble for accepting an apparent finder's fee. Continuing problems with research reports -- this month an interesting case involving material from a foreign affiliate.Source URL:https://www.wealthmanagement.com/forums/general/rrbdlawcom-new-finra-cases-0