July 26, 2019
A broker settled FINRA charges for violating Qualification Examinations Rules of Conduct while taking the Securities Industry Essentials examination.
News & Insights
- CLEAR ALL FILTERS
- Activity: Employee Matters
146 News Results
September 28, 2022
A broker-dealer settled FINRA charges for failing to adequately supervise the outside business activities of its registered representatives.
December 20, 2019
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.
May 04, 2020
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.
November 22, 2017
Commentary by Steven Lofchie
A New York-based broker-dealer agreed to pay $1.25 million to settle FINRA charges that it failed to perform adequate background checks on its non-registered associated persons.