A broker settled FINRA charges for violating Qualification Examinations Rules of Conduct while taking the Securities Industry Essentials examination.
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A broker-dealer and its CEO settled FINRA charges for associating with an individual who was subject to statutory disqualification and permitting that individual to engage in activities that required registration as a Municipal Securities Representative.
A broker-dealer settled FINRA charges for failing to adequately supervise the outside business activities of its registered representatives.
A broker-dealer firm settled FINRA charges for failing to update its representatives' Uniform Application for Securities Industry Registration to disclose bankruptcies and outstanding liens.
A broker-dealer settled FINRA charges for failing to amend its Form 4 Registration and Transfer Application and failing to maintain a supervisory system designed to ensure timely disclosure of reportable events.