FINRA Releases Quarterly Disciplinary Review Podcast

FINRA released its Quarterly Disciplinary Review Podcast, which reviews specific FINRA rule violations by registered representatives. FINRA discusses cases in which disciplinary actions were initiated as a result of specific kinds of misconduct, such as:

• borrowing from customers and engaging in unapproved outside business activities;
• failing to respond to FINRA requests for information;
• making unsuitable recommendations and improperly permitting options transactions to be executed;
• falsifying a letter and affixing a false signature;
• mismarking order tickets as "unsolicited"; and
• executing unauthorized transactions.

See: Transcript of the podcast; listen to the podcast here.
Related news: FINRA Fines Firm for Net Capital Deficiencies (with Lofchie Comment) (August 24, 2015); FINRA Fines Broker-Dealer for Regulation SHO Violations (August 13, 2015); FINRA Fines Company for Sales of Unregistered Penny Stocks and AML Violations (August 3, 2015); FINRA Fines Three Firms for Mutual Fund Overcharges (July 6, 2015).