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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.


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Browsing Hashtag: #CustomerComplaint

Investor Protection

Lackadaisical Shortcuts Taken by a Veteran Broker

September 22, 2020

Investor Protection

Broker Tried Juggling 4 Jobs at One Time

May 5, 2020

Investor Protection

Wells Fargo Pays Over $1Mn for Not Halting Excessive Trading

April 10, 2020

Investments - Strategies

Lessons from an Agreed-Upon Investment Strategy Gone Bad

April 1, 2020

Investor Protection

How Best to File a Customer Complaint

October 23, 2019

Regulatory Sanctions

Broker Barred for Private Securities Transactions That 'Went South'

May 24, 2019

Regulatory Sanctions

Hard to Pinpoint How the ‘Wheels Fell Off the Wagon’ for this Broker

May 2, 2019

Regulatory Sanctions

Broker First Botches Customer’s Retirement Contribution, Then Screws Up Career

March 31, 2019

Regulatory Sanctions

Broker Gets 18 Months; His Supervisors Get 2 and 3 Months, and Small Fines

February 27, 2019

Regulatory Sanctions

In a Flash, This Broker Is Out of a Job

February 13, 2019

Regulatory Sanctions

Broker Caught Sharing Commissions with Sales Assistant

January 28, 2019

Compliance Concepts

The Graying of America – Impact on FINRA Disciplinary Actions

January 22, 2019

Regulatory Sanctions

Broker Suspended 18 Months for Selling Non-Diversified Mutual Funds

January 8, 2019

Wall Street News

Investors Can't Differentiate Between Brokers and Advisers ... ... And Other Headlines and Headliners

December 19, 2018

Regulatory Sanctions

Customer Complaint Upends Variable Annuity Sale by Unregistered Person

December 18, 2018

Regulatory Sanctions

LPL Financial Fined $2.75Mn for Failing to Report Complaints and Suspicious Activities

October 31, 2018

Regulatory Sanctions

Broker to Broker: Uncertain Alliance Leads to a Complaint

October 30, 2018

Regulatory Sanctions

Series 24 Principal Settles Complaint Away from His Firm

June 7, 2018

Regulatory Sanctions

B/D and CEO Fight FINRA's Broad Indictment of Its Supervisory Procedures

May 7, 2018

Regulatory Sanctions

Broker Caught Settling a Customer Complaint - Motive Unknown

April 17, 2018

Regulatory Sanctions

A Broker Trips Up on His False Statements

December 14, 2017

Regulatory Sanctions

Four Brokers Caught Trying to Privately Settle Customer Complaints

November 21, 2017

Regulatory Sanctions

Registered Rep Made a Mountain Out of a Molehill

June 19, 2017