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Browsing Hashtag: #UnauthorizedDiscretion

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

FINRA Reports Disciplinary Actions Against 7 Firms, 43 Individuals

June 17, 2019

Regulatory Sanctions

Discretion or Indiscretion in Executing Discretionary Transactions

June 5, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 13 Firms, 24 Individuals

May 16, 2019

Regulatory Sanctions

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

May 2, 2019

Regulatory Sanctions

Unauthorized Discretion: 4 FINRA Sanctions, 2 Terminations

March 19, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 4 Firms, 27 Individuals

March 15, 2019

Regulatory Sanctions

In a Flash, This Broker Is Out of a Job

February 13, 2019

Regulatory Sanctions

80 Years of Experience, Yet No Leniency from FINRA in Meting Out Sanctions

January 22, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 8 Firms, 42 Individuals

January 16, 2019

Regulatory Sanctions

Branch Manager Looks On as Rogue Brokers Churn Accounts of Dying Customer

December 20, 2018

Regulatory Sanctions

Broker Carelessly Processed Wire Transfer Request from an Email Hacker

October 26, 2018

Regulatory Sanctions

Unauthorized Discretionary Trading – How FINRA Determines Length of Suspension

October 20, 2018

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 11 Firms, 28 Individuals

October 15, 2018

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

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