RRBDLAW.com: New NASD/FINRA Monthly cases
Sep 17, 2007 5:11 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 11:56 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&element_id=1159000034Source URL:https://www.wealthmanagement.com/forums/legal-issues/rrbdlawcom-new-nasdfinra-monthly-cases