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Browsing Hashtag: #UnauthorizedDiscretion

Rules & Regulations

FINRA and ‘De Facto Control’ – Where Do We Go from Here?

June 13, 2018

Regulatory Sanctions

‘De Facto Control’ – A New Trend in FINRA Disciplinary Actions

June 8, 2018

Regulatory Sanctions

Broker Barred for Exercising Discretion on Outside Brokerage Accounts

May 22, 2018

Regulatory Sanctions

Broker Exercises Discretion on Customer’s Verbal Permission - Not OK

May 7, 2018

Regulatory Sanctions

Discretionary Authority – Timing Matters

March 21, 2018

Regulatory Sanctions

Unauthorized Trades – A Broker’s Cover-Up is Worse Than Her Infraction

March 15, 2018

Regulatory Sanctions

Brokers 'Crossing the Line' on Discretionary Authority

December 19, 2017

Regulatory Sanctions

Lure of Leveraged Exchange Traded Notes Tripped Up Young Broker

December 18, 2017

Regulatory Sanctions

A Broker Ran ‘Out of Lives’ at His Broker-Dealer

December 6, 2017

Regulatory Sanctions

Matters of Discretion

November 8, 2017

Regulatory Sanctions

After Years of Lies, Unauthorized Discretion and Large Commissions, A Broker is Barred

October 19, 2017

Regulatory Sanctions

Edward Jones Pulls In Welcome Mat After 7 Years of Unauthorized Discretionary Trades

September 26, 2017

Regulatory Sanctions

How FINRA Sanctions Can Differ for 2 Brokers Who Exercised Unauthorized Discretion

July 28, 2017

Regulatory Sanctions

Raymond James Apparently Fiddled While Broker Burned Elderly Customer Accounts

July 7, 2017

Regulatory Sanctions

Broker Learns Hard Lesson While Trying to Protect Clients

July 6, 2017

Regulatory Sanctions

FINRA Priorities:Quarterly Disciplinary Review, July 2017 (Part 2 of 2)

July 6, 2017

Regulatory Sanctions

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

April 11, 2017

Regulatory Sanctions

FINRA Quarterly Disciplinary Review for October 2016

October 3, 2016