RRBDLAW.com: New NASD/FINRA Monthly cases
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?
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=1159000034