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Examinations Enforcement: SRO Actions (8)
Your search for Examinations Enforcement: SRO Actions returned 8 results.
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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 ...
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...
3/30/2017 | Content area: Investment Adviser
It appears that Daniel Glick was a classic recidivist who preyed on senior investors. The Chicago-based investment adviser and his unregistered invest...
1/02/2015 | Content area: Investment Adviser
Misinterpreting the rules of your regulator can be costly. Pershing learned that lesson the hard way after staff misinterpreted certain aspects of the...
12/17/2014 | Content area: Investment Adviser
SIFMA continues to hammer away at FINRA’s controversial CARDS proposal (IA Watch, Dec. 4, 2014). This time the ammunition being used to combat the pro...
11/05/2014 | Content area: Investment Adviser | Broker-Dealer
FINRA continues to advance enhancements to its risk-based exam program with a view toward being more data driven and automated. “This data driven appr...
6/09/2014 | Content area: Investment Adviser | Broker-Dealer
The top three hot topics coming up in FINRA exams are failure to supervise branch offices, the accuracy of consolidated statements of financial condit...
8/31/2009 | Content area: Investment Adviser
At first glance, the case against Ameritas Investment Corp. of Lincoln, Neb., for failing to supervise a broker who sold clients unsuitable life insur...


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