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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: #RegisteredRep

Terminations/Cost Cutting

Top UBS Broker with Heretofore Clean Record is U5'd

April 30, 2019

Regulatory Sanctions

Veteran Broker and His Unsuitable Recommendations for an Elderly Investor

January 24, 2019

Regulatory Sanctions

27 Error-Free Years in the Business, Then … Wham, You’re Outta Here!

January 17, 2019

Regulatory Sanctions

Broker Deleted Customer Records from Firm Database

November 8, 2018

Regulatory Sanctions

Rookie Mistakes by an Experienced Broker

November 5, 2018

Regulatory Sanctions

Broker Quit Rather Than Return Inheritance from Customer’s Estate

October 23, 2018

Regulatory Sanctions

Should FINRA Have Cut This Broker Some Slack on a PST Violation?

October 16, 2018

Regulatory Sanctions

For Submitting False Expense Report, Broker Given an Expensive Lesson

July 18, 2018

Regulatory Sanctions

CCO Flunked his Supervision of OBAs and PSTs

June 28, 2018


Long Island Broker Charged in Land Development Investment Scam

May 31, 2018

Regulatory Sanctions

FINRA Wrong to Sanction Broker Twice for Borrowing from Two Customers

April 26, 2018

Regulatory Sanctions

Broker Sanctioned for Using (and Paying for) Services of a Former Registered Rep

March 16, 2018

Regulatory Sanctions

Broker Sold Unsuitable Municipal Bonds – Was the Firm At Fault?

March 12, 2018

Regulatory Sanctions

Broker Tosses 24-Year Career for $26K in Executor Fees

November 7, 2017

Regulatory Sanctions

FINRA Caught Broker in a State of ‘Suspended Animation’

September 8, 2017

Regulatory Sanctions

Purshe Kaplan Sterling to Pay $4.1Mn, Hire Consultant to Settle FINRA Charges

February 22, 2017