Investor Protection
The Art of Multitasking at Merrill Lynch
July 28, 2020
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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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Regulatory Sanctions
Light Sanctions ($5K, 3 Months) for Untrustworthy Broker with Extended Outside Business Activities
June 28, 2019
Regulatory Sanctions
Troubled Events of Past and Present Can Stick to a Broker Like ‘White on Rice’
June 26, 2019
Regulatory Sanctions
Firm U5’s Broker Over Outside Business Activities (Or Was it Private Securities Transactions?)
March 5, 2019
Regulatory Sanctions
Veteran Louisiana Broker Caught Violating Terms of His Outside Business Activities
January 10, 2019
Regulatory Sanctions
Did Broker Not Realize He Crossed Line Between an OBA and PSTs?
January 2, 2019
Regulatory Sanctions
This Outside Business Activity was Really a Private Securities Transaction
December 24, 2018
Regulatory Sanctions
FINRA Reports Disciplinary Actions Against 13 Firms, 39 Individuals
November 17, 2018
Regulatory Sanctions
Should FINRA Have Cut This Broker Some Slack on a PST Violation?
October 16, 2018
Regulatory Sanctions
An Undisclosed Customer Loan or Unauthorized OBA? Broker Still in the Wrong
May 8, 2018
Regulatory Sanctions
Undisclosed Transactions and Business Activities - A Broker Ruffles FINRA's Feathers
April 19, 2018
Regulatory Sanctions
FINRA Priorities – Quarterly Disciplinary Review [Last of 2 Parts]
April 12, 2018
Rules & Regulations
Outside Business Activities & Private Securities Transactions – Rule Reform
February 27, 2018
Regulatory Sanctions
Beverly Hills Broker-Dealer Fined $250K Following Years of Lax Oversight – Part Two
December 12, 2017
Regulatory Sanctions
Beverly Hills Broker-Dealer Fined $250K Following Years of Lax Oversight – Part One
December 11, 2017
Regulatory Sanctions
Undisclosed Outside Business Activities - FINRA Reports New Sanctions
November 28, 2017
Regulatory Sanctions
30-Year FinOp Goes Down with the Firm and its Chief Executive
November 22, 2017
