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Examinations Enforcement: SRO Actions (115)
Your search for Examinations Enforcement: SRO Actions returned 115 results.
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9/05/2019 | Content area: Broker-Dealer
FINRA has periodically enumerated concerns about the risk management practices of firms that provide direct market access to customers.    And periodi...
8/22/2019 | Content area: Broker-Dealer
When does a customer account fee become unreasonably excessive? Does FINRA have a role in monitoring such fees, especially among consenting profession...
8/22/2019 | Content area: Broker-Dealer
FINRA is trying to make it easier than ever for firms to get credit for what it considers “extraordinary cooperation.” Perhaps the best evidence that ...
8/01/2019 | Content area: Broker-Dealer
Background checks are a critically important tool in the arsenal of firms serving as gatekeepers to protect their firm’s investors from “bad actors.” ...
7/18/2019 | Content area: Broker-Dealer
It’s been over 10 years since FINRA has provided the brokerage industry with guidance on the circumstances under which a firm or individual can influe...
7/18/2019 | Content area: Broker-Dealer
FINRA announced July 17 that its multi-year mutual fund fee waiver initiative has yielded settlements with 56 broker-dealers. The initiative has ultim...
7/11/2019 | Content area: Broker-Dealer
There is a price to pay for not enforcing your brokerage firm’s written supervisory procedures. Summit Brokerage Services WSPs stated that the upwards...
5/09/2019 | Content area: Broker-Dealer
Thousands of AXA Advisors retirement plan participants believed they were investing in certain bond funds that were “investment-grade.” Turns out a su...
5/02/2019 | Content area: Broker-Dealer
When you are the named principal in your firm’s WSPs responsible for reviewing the suitability of your reps’ recommendations, claiming that you rely o...
4/18/2019 | Content area: Broker-Dealer
FINRA’s recently released 2019 Annual Budget Summary calls out that the SRO’s regulatory responsibilities remain “extensive and complex” and continue ...
1/31/2019 | Content area: Broker-Dealer
FINRA is taking a page from the SEC’s playbook in announcing Jan. 28 a self-reporting initiative tied to share class recommendations. Under the SRO’s ...
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
Failures in the anti-money laundering programs of UBS Financial and UBS Securities have resulted in triple jeopardy for the firms and a total of $15 m...
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...
11/21/2018 | Content area: Investment Adviser
Financial services firms struggle when it comes to governing their employees’ use of mobile devices for business communications, according to a newly ...
11/01/2018 | Content area: Broker-Dealer
A too narrow interpretation about requirements surrounding the disclosure of customer complaints resulted in LPL Financial failing to file or amend re...
10/25/2018 | Content area: Broker-Dealer
Having recently revamped its enforcement efforts, FINRA is now taking aim at its disjointed examination program. Details have been hard to come by sin...
9/06/2018 | Content area: Investment Adviser
An industry bar imposed by the SEC on Walter Grenda back in 2015 apparently did little to deter the long time investment adviser. In a complaint filed...
8/23/2018 | Content area: Broker-Dealer
The “red flags” at Interactive Brokers were waving for over three years.  Internal audit findings, along with “multiple” internal warnings from its cl...
6/21/2018 | Content area: Broker-Dealer
Is FINRA truly serious about making its enforcement process more consistent and transparent? Susan Schroeder, the SRO’s EVP of enforcement, made a str...


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