FINRA Podcast: Quarterly Disciplinary Review

FINRA published its Quarterly Disciplinary Review Podcast, which reviews specific FINRA rule violations by registered representatives.

The podcast discussed cases in which specific kinds of misconduct led to disciplinary actions, including the following:

• a representative's failure to disclose that he was selling a company's stock while soliciting customers to buy it;
• causing a customer to sign blank investment documents;
• altering a Series 7 Exam score;
• a registered representative's conversion of customer funds for his own use and benefit;
• a registered representative's engagement in outside business activities without notifying his firm; and
• failing to disclose liens on Form U4 within a 30-day period, as required by FINRA bylaws.

See: Transcript of Disciplinary Report Review; Podcast of Quarterly Disciplinary Review.