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RRBDLAW.com: New FINRA Cases

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Jun 5, 2008 11:28 am

anonymous

Joined: 2005-09-29Offline

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.