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BD Rules & Regulatory Actions

Another HJS RR recommended the purchase of over $49,000 in VRSPs to an 87-year-old customer with a moderate risk tolerance, an investment objective of income, ...
Tradier failed to comply with the Requirements by its regulatory deadlines, and began complying only after FINRA contacted the firm regarding the failure to file ...
Trade App finally filed Form CRS with the Commission on May 20, 2021, and the firm did not deliver Form CRS to its existing retail ...
Greentree failed to comply with the Requirements by its regulatory deadlines, and began complying only after FINRA contacted the firm regarding the failure to file ...
FINRA contacted Capital Portfolio Management on September 18, 2020 to alert the firm that it had failed to file Form CRS. Capital Portfolio Management, however, ...
FINRA contacted Birkelbach on September 17, 2020 to alert the firm that it had failed to file Form CRS. Birkelbach, however, still did not file ...
FINRA contacted BP Agency on September 17, 2020 to alert the firm that it had failed to file Form CRS. BP Agency, however, still did ...
To meet this fiduciary obligation, Kestra AS was required to provide its advisory clients with full and fair disclosure that was sufficiently specific so that ...
Hilltop failed reasonably to supervise the municipal securities activities of its registered representative to ensure compliance with MSRB rules and the federal securities laws. As ...
Neovest continued collecting transaction-based compensation for its OEMS Platform after Neovest Trading deregistered
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