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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
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- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
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- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
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- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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FINRA Disciplinary Actions Against 14 Firms in June Report
by Howard Haykin
Topic - Sales of LImited Partnership: FINRA Case #2015043469001.
Topic - Supervision of ...: Muni Bonds (FINRA Case #2016047661702); Variable Annuities (Case #2015043369501); Variable Annuities (Case #2015043390301); Order Entry (Case #2011027891502); Excessive Trading in Customer A/C's (Case #2015043310801).
Topic - Anti-Money Laundering: FINRA Case #2016052628901.
Topic - Equity Order Routing: FINRA Case #2013037652201; Case #2014041261702; Case #2015045281404.
Topic - Best Execution - Fixed Income: FINRA Case #2015044476201.
Topic - Trade Reporting: FINRA Case #2015046920901.
Topic - Parking Licenses: FINRA Case #2016047857701.
Topic - Email Review & Retention: FINRA Case #2016047857701.
Topic - Financial Records & Reporting: FINRA Case #2015043418701.
For details on any of these cases:
- Go to FINRA Disciplinary Actions Online, and refer to the Respective Case Number.
- Go to June Disciplinary Actions, and refer to the Respective Case Number.
