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Regulatory Sanctions

Preferential Treatment by Georgia Adviser to Himself and His Family

October 10, 2019

Regulatory Sanctions

Customers Left Hanging by Their Brokerage Firms

September 22, 2019

Regulatory Sanctions

Cantor Fitzgerald, BMO Capital, Canaccord Genuity Sanctioned by SEC ... And Other Fines, Sanctions and Legal Actions

September 21, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 12 Firms, 48 Individuals

September 19, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 6 Firms, 30 Individuals

July 17, 2019

Regulatory Sanctions

Deutsche Bank Probed Over 1MDB Scandal … And Other Fines, Sanctions and Legal Actions

July 11, 2019

Regulatory Sanctions

Summit Brokerage Had Lax Supervision Over Excessive Trading and Consolidated Reports

July 4, 2019

Regulatory Sanctions

Light Sanctions ($5K, 3 Months) for Untrustworthy Broker with Extended Outside Business Activities

June 28, 2019

Regulatory Sanctions

Merrill Settles 'Spoofing' Charges, LPL Fined for Unregistered Brokers … And Other Regulatory Cases

June 28, 2019

Regulatory Sanctions

Troubled Events of Past and Present Can Stick to a Broker Like ‘White on Rice’

June 26, 2019

Regulatory Sanctions

Broker Risks His Career on a Friendship, And Loses

June 26, 2019

Regulatory Sanctions

Wedbush Securities: Tough Year Just Got Tougher

June 25, 2019

Regulatory Sanctions

SEC Wins Jury Trial vs. Broker Who Defrauded Customers by Churning Accounts (And Whose Partner Copped a Plea)

June 24, 2019

Regulatory Sanctions

A Case for Re-Taking Registration Exams

June 21, 2019

Regulatory Sanctions

Could Any of These Careers Been Saved?

June 20, 2019

Regulatory Sanctions

Non-Registered Person Pays Dearly for Managing Small Undisclosed Brokerage Account

June 19, 2019

Regulatory Sanctions

Veteran Broker Chose to ‘Fall on His Sword’ in Dispute Over Customer Loan

June 18, 2019

Regulatory Sanctions

Dealing in Penny Stocks Without Adequate AML Policies and Procedures

June 18, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 7 Firms, 43 Individuals

June 17, 2019

Regulatory Sanctions

A 'Stitch in Time (Usually) Saves Nine', But Not for This Broker

June 13, 2019

Regulatory Sanctions

A FINRA Decision That, Unfortunately, Is Not Worth the Paper It’s Printed On

June 12, 2019

Regulatory Sanctions

Ann Arbor, MI Affiliates Nabbed for Unsuitable Non-Traditional ETFs

June 11, 2019

Regulatory Sanctions

New Broker-Dealer Started Off on the Wrong 'Feet’

June 11, 2019

Regulatory Sanctions

Another Broker-Dealer Nabbed in FINRA Mutual Fund Sweep

June 10, 2019

Regulatory Sanctions

Beg, Borrow and Steal(?)

June 7, 2019

Regulatory Sanctions

Investment Adviser Fined $8Mn Over Undisclosed Compensation; Ex-Managers Also Charged

June 6, 2019

Regulatory Sanctions

Hedge Fund Adviser Fined $5Mn for Allowing Traders to Game Valuations

June 6, 2019

Regulatory Sanctions

SEC Confronts an ‘Animal House’ Ponzi Scheme at UGA

June 5, 2019

Regulatory Sanctions

Discretion or Indiscretion in Executing Discretionary Transactions

June 5, 2019

Regulatory Sanctions

Firm Offered Market Access But Lacked Risk Management Controls

June 3, 2019

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