A broker-dealer that sells mutual funds and variable products settled charges with FINRA for failing to supervise the outside business activities of its registered representatives.
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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.
A broker-dealer that provided execution, clearing and stock lending services settled charges with FINRA and various securities exchanges for allowing several of its employees to operate in roles for which they were not registered.
A broker-dealer settled charges with FINRA for failing to properly oversee the outside business activities of two of its representatives.
FINRA amended the process for the expungement of customer dispute information. The amendments will go into effect on October 16, 2023.