This is the twenty-first in a series of posts to discuss the rules associated with the FINRA disciplinary process.
It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.
This is the twenty-first in a series of posts to discuss the rules associated with the FINRA disciplinary process.
A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.
According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.
The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.