Tagged with "FINRA disciplinary process"

FINRA Discipline: FINRA Rule 9222

Posted on December 21st, 2016 at 8:59 AM
FINRA Discipline: FINRA Rule 9222

This is the eighth in a series of posts to discuss the rules associated with the FINRA disciplinary process. 

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FINRA Discipline: FINRA Rule 9220

Posted on December 15th, 2016 at 10:04 AM
FINRA Discipline: FINRA Rule 9220

This is the sixth of a series of posts to discuss the rules associated with the FINRA disciplinary process. 

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FINRA Discipline: FINRA Rule 9215

Posted on December 12th, 2016 at 12:44 PM
FINRA Discipline: FINRA Rule 9215

This is the fifth of a series of posts to discuss the rules associated with the FINRA disciplinary process. 

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LATEST NEWS AND ARTICLES

September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.