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Browsing Hashtag: #WSPs

Compliance Concepts

An ‘Imprecise’ WSPs Manual Leads to Registration Problems

September 23, 2020

Investor Protection

A Broker in Financial Difficulty Spells T-R-O-U-B-L-E

June 25, 2020

Investor Protection

Advisory Clients Would be Outraged by Double-Billing

June 4, 2020

Investor Protection

Some ‘Oops’ Moments with Municipal Bonds

May 18, 2020

Regulatory Sanctions

Dealing in Penny Stocks Without Adequate AML Policies and Procedures

June 18, 2019

Regulatory Sanctions

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

June 11, 2019

Regulatory Sanctions

Trade Reporting Violations Reported by FINRA

May 28, 2019

Regulatory Sanctions

Putting a $300,000 Price Tag on This Broker-Dealer’s WSPs

May 17, 2019

Regulatory Sanctions

A Quest to Hold Supervisors More Accountable

April 27, 2019

Regulatory Sanctions

Variable Annuities Supervision: Failing to Go ‘The Whole Nine Yards’

April 23, 2019

Regulatory Sanctions

An LPL Branch Manager Goes Rogue - Or - Who’s Supervising the Supervisor?

April 11, 2019

Regulatory Sanctions

Unauthorized Discretion: 4 FINRA Sanctions, 2 Terminations

March 19, 2019

Regulatory Sanctions

Firm Ticketed for Routing Mismarked Orders

March 13, 2019

Regulatory Sanctions

Cantor's Latest Reg. SHO Violations Will Cost $2 Million

March 6, 2019

Regulatory Sanctions

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

February 27, 2019

Regulatory Sanctions

Deficient Supervision of Market Access Leads to $625K Fine

February 20, 2019

Regulatory Sanctions

Required Disclosures for Publications That Qualify as Research Reports

January 11, 2019


Strengthening Branch Cybersecurity Controls

December 26, 2018

Regulatory Sanctions

NYSE ARCA Disciplinary Actions - December 2018

December 24, 2018

Regulatory Sanctions

NYSE Disciplinary Actions - December 2018

December 24, 2018

Regulatory Sanctions

Supervision: Wearing Too Many Hats Proves Fatal

November 12, 2018

Regulatory Sanctions

Consolidated Reports - Isn't Anybody Supervising?

October 29, 2018

Regulatory Sanctions

Gotcha - Untimely Branch Inspections

October 28, 2018

Regulatory Sanctions

Failed Best Execution on Riskless Principal Bond Trades

October 19, 2018

Regulatory Sanctions

Weak Link in B/D’s Wire Transfer Procedures Leads to Trouble and Fine

October 18, 2018

Regulatory Sanctions

Small FOCUS Errors Opens Pandora’s Box to Other Violations

July 6, 2018

Regulatory Sanctions

Credit Suisse Committed FCPA Violations - Criminal Fine & Disgorgement

July 5, 2018

Regulatory Sanctions

Firm Caught for Lax Supervision Over Research Analysts

June 11, 2018

Regulatory Sanctions

FINRA Sweeps Nab Firms for Best Execution Violations

May 24, 2018

Regulatory Sanctions

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

May 7, 2018

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