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Father-Son Broker Team Taken Down for Discretionary Trading
May 4, 2020
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Compliance Concepts
Abuse of Authority (FINRA Exam Findings – 5th and Concluding Part)
December 17, 2018
Regulatory Sanctions
Broker Exercised Discretion at Former Firm and Paid a Heavy Price
March 26, 2018
Regulatory Sanctions
Discretionary Authority – A Broker’s Actions Speak Louder Than a Customer‘s Word
March 21, 2018
Regulatory Sanctions
Broker Flagged for Exercising Unauthorized Discretion – A ‘Matter of Timing’
December 5, 2017
