The Financial Industry Regulatory Authority (“FINRA”) recently barred Rand A. Heckler from the securities industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.
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The Financial Industry Regulatory Authority (“FINRA”) recently barred Rand A. Heckler from the securities industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.
Financial advisors may find themselves to be the subject of a FINRA investigation conducted pursuant to FINRA Rule 8210. Brokers absolutely should retain competent securities counsel to help them.
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.