A firm settled with FINRA for failing to (i) supervise the use of personal email for business-related communications, (ii) retain certain business-related email communications and (iii) adopt written policies and procedures to safeguard customer records and information.
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A firm settled FINRA charges for placing transactions for customers directly with product sponsors, without recording such transactions in the firm's records or supervising their suitability.
FINRA settled charges with four firms for misrepresentations and supervision failures on their "fully paid securities lending" programs.
A formerly registered broker-dealer settled FINRA charges for failing to supervise the suitability of sales of variable annuities to customers.
FINRA provided an update of its targeted exam (sweep) focusing on the social media practices firms use to acquire new customers and firms’ privacy notices with respect to customer nonpublic information.