The Practice: Regulatory/legal issues
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June 7, 2018Here's Your Best Defense Against Wayward Clients and Bad Finra Exam ResultsWhen documentation is absent or lacking, Finra will have to decide who is more credible.No Comments
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June 7, 2018Finra is Merging its Enforcement Units -- Here’s What That Means for YouFinra is in the process of merging its two enforcement groups to push for greater cohesion.No Comments
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June 7, 2018Since Morgan Stanley and UBS Left Protocol, FAs find it Harder to Jump ShipAdvisors have dragged their feet leaving wirehouses since some firms exited the protocol agreement.No Comments
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June 6, 2018What M&A Partners Talk About When They Talk About ‘Culture’In one case, cultural affinity is the starting point for helping each other into the next generation.No Comments
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June 6, 2018FA Under Investigation for Forgery Skips Court – Now He’s BannedFinra has barred a former Northwestern Mutual financial advisor under investigation for allegations of forgery.No Comments
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June 5, 2018Finra Hunts Down FAs Violating Outside Activities RulesThe new crackdown has already netted a number of advisors.Last Comment: June 6, 2018
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June 5, 2018How Wirehouses Turn the Tables on Ex-Employees in Finra ArbitrationsDon’t expect to wiggle out of your promissory note obligations.No Comments
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June 5, 2018Long Island FA Who Bamboozled Clients and Stole Millions in Ponzi Scheme is ArrestedFA arrested for looting his senior clients of a collective $7.5 million of their hard-earned dollars.No Comments
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June 5, 2018SEC Slaps Advisor with Multimillion-Dollar Penalty for Conflicts of Interest Non-DisclosureThe firm has agreed to pay a settlement leading to the creation of a Fair Fund for affected clients.No Comments
