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Legal and Compliance Issues

A place to discuss the securities industry’s legal landscape.

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About the Legal and Compliance Issues category

by admin

1

by admin

Oct 28, 2016

Edward Jones Employee Contract - Covid

by jtrice991

1

by jtrice991

Aug 31, 2020

High Fees on Active Accounts

by sdadesky

1

by sdadesky

Jul 27, 2020

Help! Fees!

by rcr5035

2

by sdadesky

Jul 26, 2020

POA self-dealing liabilty

by KCPlanner

2

by Former WFA

Jul 9, 2020

Expungement of Client Complaint

by The Bee

3

by jolivermaxwell

Apr 26, 2020

U5 Form - Transfer Wire and Identity Theft

by ehale434

1

by ehale434

Apr 12, 2020

Ed Jones production claims

by Jacksback

1

by Jacksback

Feb 22, 2020

I need Thoughts on Answering a Complex AUM Question

by madeinnyc

1

by madeinnyc

Feb 12, 2020

U5 Question - discharged broker

by Wealthrookie2020

1

by Wealthrookie2020

Feb 8, 2020

Failure to Pay FINRA Arbitration Award

by Beyond_Depressed

16

by cbcpa

Dec 19, 2019

Guilty By Association

by Guilty By Association

1

by Guilty By Association

Sep 25, 2019

Series 53 and 24

by Cosgrove Tommy

1

by Cosgrove Tommy

Aug 13, 2019

Investment advice or education

by newbie-nyc

1

by newbie-nyc

May 31, 2018

FINRA background fired!

by Sally_Ann

1

by Sally_Ann

Jan 13, 2019

Getting sponsored for a Series 7 lisense

by jramsay28

2

by MoneyFreak

Jan 9, 2019

Firm response to debt owed to IRS

by kevhar01

1

by kevhar01

Dec 19, 2018

Can we reject unsolicited trades

by mperzinski

1

by mperzinski

Oct 25, 2018

About Corporate Finance Advisory

by Jeason

1

by Jeason

Oct 11, 2018

Billing on Margin accounts

by gdman361

1

by gdman361

Jun 5, 2018

Compliance Department Fining Me

by publicOne

1

by publicOne

May 10, 2018

U4 bakruptcy will they find out

by CALI123

22

by [email protected]

Sep 9, 2017

U5/ Brokercheck Question

by LBJ6

27

by Sdrts

May 14, 2018

Firms that will take you with bk?

by imac1

1

by imac1

Jan 25, 2018

RAUM - 4o1(k) held away assets

by anonymous3

2

by pmallory

Jan 19, 2018

Opening an investment management/consulting firm

by theresearcher

4

by bizbon7

Nov 29, 2017

Edward Jones 75k training

by dan0402

10

by jjsshin

Oct 19, 2017

8210 letter, how bad is this?

by citizen22

1

by citizen22

Aug 2, 2017

FINA 8210 letter

by Jonnyc0191

1

by Jonnyc0191

Jul 25, 2017

AdvisorCheck Website

by Vin Diesel

56

by scholar87

Mar 3, 2017

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