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Regulatory Sanctions

WWW: Head Trader Gets 18 Months for Undisclosed Markups

April 17, 2017

Regulatory Sanctions

WWW: OSJ Supervisor Fails Daily Trade Reviews, Gets 6-Month Suspension

April 16, 2017

Regulatory Sanctions

WWW: CCO, 35-Year Vet, Gets Fined & Suspended Over WSP Deficiencies

April 12, 2017

Regulatory Sanctions

WWW: Broker-Dealer Gets Dinged for Avoidable Sales Errors

April 11, 2017

Regulatory Sanctions

WWW: Another Unauthorized Discretion Sanction - And How it Could Have Been Avoided

April 11, 2017

Regulatory Sanctions

WWW: Convergex Pays $3Mn for Years of AML Deficiencies

April 10, 2017

Regulatory Sanctions

WWW: Verbal Discretionary Authority Leads to Fine, Suspension, Lost Job

April 10, 2017

Regulatory Sanctions

WWW: Church MInister/Registered Rep for Violating Sacred Oath - Gets Fined, Suspended

April 7, 2017

Regulatory Sanctions

WWW: Broker Fleeces Retirees While Supervisors Were … Where?

April 7, 2017

Regulatory Sanctions

WWW: B/D's Still Committing Common Email Violations - FINRA

April 6, 2017

Regulatory Sanctions

WWW: HSBC Pays $575K for Over-Advertising Trading Volume - FINRA

April 5, 2017

Regulatory Sanctions

CUSO Supervisor ‘Rubber-Stamped’ Transactions He Didn’t Understand - FINRA

April 4, 2017

Regulatory Sanctions

WWW: Retail B/D Pays $498K for Selling Unsuitable UITs - FINRA

April 4, 2017

Regulatory Sanctions

WWW: Broker Churns IRA Accounts, Aided and Abetted by Firm

April 3, 2017

Regulatory Sanctions

WWW: Retail B/D Pays $300K for Not Updating Forms U4, U5 - FINRA

April 3, 2017