Subscribe to our mailing list

* indicates required







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.


Stay Informed with the latest fanancialish news.




Browsing Hashtag: #DiscretionaryAuthority

Rules & Regulations

Father-Son Broker Team Taken Down for Discretionary Trading

May 4, 2020

Investor Protection

The Yin and Yang of Discretionary Trading

April 20, 2020

Investor Protection

When a Son Shouldn’t Give Orders for His Father

April 8, 2020

Bad Brokers

Customers Unaware as Broker Churned Their Accounts

October 25, 2019

Compliance Concepts

The Graying of America – Impact on FINRA Disciplinary Actions

January 22, 2019

Regulatory Sanctions

Broker-Dealer Overpaid Customers' Third-Party Advisors

January 15, 2019

Regulatory Sanctions

'Off-the-Books' Broker Gets Barred from the Industry

December 28, 2018

Compliance Concepts

Abuse of Authority (FINRA Exam Findings – 5th and Concluding Part)

December 17, 2018

Regulatory Sanctions

Broker to Broker: Uncertain Alliance Leads to a Complaint

October 30, 2018

Regulatory Sanctions

Broker Placed Orders in Account, ... Days After Customer Died

July 20, 2018

Regulatory Sanctions

Buying IPOs in Outside Brokerage Accounts – Two FINRA Cases

April 30, 2018

Regulatory Sanctions

Broker Exercised Discretion at Former Firm and Paid a Heavy Price

March 26, 2018

Regulatory Sanctions

Discretionary Authority – A Broker’s Actions Speak Louder Than a Customer‘s Word

March 21, 2018

Regulatory Sanctions

Broker Flagged for Exercising Unauthorized Discretion – A ‘Matter of Timing’

December 5, 2017

Regulatory Sanctions

FINRA Priorities: Quarterly Disciplinary Review, October 2017

October 31, 2017

Regulatory Sanctions

SunTrust Placed Wrap Account Clients in Higher-Fee Mutual Funds

September 19, 2017

Regulatory Sanctions

Till Death Do Us Part – Except for This Broker

July 18, 2017