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Suitability (33)
Your search for Suitability returned 33 results.
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6/26/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that, during the period from 2011 through 2014, Dean recommended to thirteen customers a pattern of high cost, in-a...
1/24/2019 | Content area: Broker-Dealer
FINRA’s recently released 2019 Risk Monitoring and Examination Priorities letter takes a new tact this go round by emphasizing new focus areas not not...
12/20/2018 | Content area: Broker-Dealer
FINRA has again delivered an early holiday present for the brokerage industry in the form of the SRO’s 2018 Report on Examination Findings. The second...
10/19/2018 | Content area: Broker-Dealer
The Commission’s complaint, alleged, among other things, that from April 1, 2013, through December 31, 2014, Berkey violated the antifraud provisions ...
4/12/2018 | Content area: Broker-Dealer
Despite repeated warnings from FINRA, firms continue to have trouble meeting their suitability obligations. Witness the two Wells Fargo broker-dealers...
1/11/2018 | Content area: Broker-Dealer
FINRA has released its 2018 regulatory and examination priorities letter. The 10-page letter includes new topics as well as ongoing focus areas. Fraud...
12/14/2017 | Content area: Broker-Dealer
FINRA has released its first consolidated findings from recent examinations, delivering on a pledge made by the SRO’s President/CEO Robert Cook at the...
12/07/2017 | Content area: Broker-Dealer
In each of the first three quarters of this year the SEC has filed charges of excessive trading against brokers. The streak continues with the Dec. 6 ...
10/18/2017 | Content area: Broker-Dealer
Complex products bring with them special supervision, suitability and rep training obligations.  Volatility-linked exchange-traded products fit square...
6/08/2017 | Content area: Broker-Dealer
There is a price to pay for ignoring compliance mandates. Despite repeated warnings, restrictions and prohibitions from compliance, a former Morgan St...
4/27/2017 | Content area: Broker-Dealer
A former rep with a prior FINRA settlement on his record for violating the SRO’s suitability rules has now run afoul of the SEC for yet again repeated...
3/09/2017 | Content area: Broker-Dealer
Initial projections that FINRA would realize a record year for fines in 2016 (BD Watch, Oct. 13, 2016) have been confirmed. The SRO ordered a record-s...
3/02/2017 | Content area: Broker-Dealer
Colgate-Palmolive has been paying an annual dividend to its shareholders since 1895. This fact wasn’t lost on a 28-year former Colgate employee who sp...
12/01/2016 | Content area: Broker-Dealer
Merrill Lynch will pony up just over $7 million for inadequately supervising its customers’ use of leverage in their brokerage accounts. FINRA fined t...
11/03/2016 | Content area: Broker-Dealer
FINRA has signaled in the past that broker-dealers that sell mutual fund “L- shares” to variable annuity clients should anticipate heightened scrutiny...
7/07/2016 | Content area: Broker-Dealer
However the Department of Labor’s new fiduciary rule may end up affecting you, don’t lose sight of your responsibility for suitability for regular bro...
6/16/2016 | Content area: Broker-Dealer
Despite taking the proactive step of instituting policies tied to the purchase of non-traditional ETFs in the wake of a 2009 FINRA regulatory notice w...
3/17/2016 | Content area: Broker-Dealer
As digital investment advice tools – so called robo-advisors – increasingly play an important role in wealth management, FINRA is cautioning that inve...
1/07/2016 | Content area: Broker-Dealer
FINRA will make the treatment of seniors and other vulnerable investors a top priority this year. In its new 2016 Regulatory and Examination Prioritie...
1/07/2016 | Content area: Broker-Dealer
Thousands of unsuitable mutual fund switches and a failure to provide applicable breakpoint discounts will cost Barclays Capital $13.7 million for the...


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