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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- 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 Quarterly Disciplinary Review for October 2016
October 3, 2016
Here's the lineup of cases:
- False Impersonation to Obtain Documentation and Status Updates and Providing False Statements in Response to FINRA’s Requests for Testimony and Information
- Concealing the Improper Receipt of Customer Funds, Using Text Messages to Circumvent the Review of Business Communications, Providing False Attestations Concerning the Use of Text Messages, and Making an Unsuitable Recommendation
- Improperly Accepting Loans From Customers and Making False Representations on Compliance Questionnaires
- Participating in Private Securities Transactions Without Prior Written Notice and Approval
- Failing to Adequately Supervise a Firm’s Placement of Unregistered Securities
- Falsifying Monthly Commission Sheets to Give the Appearance of Increased Sales Production
- Exercising Discretion in Customers’ Accounts Without Written Authorization
- Forging Customers’ Signatures on Advisory Contracts
