The Financial Industry Regulatory Authority (“FINRA”) published its annual Regulatory and Examination Priorities letter, concentrating on specific areas of focus within five broad areas – high-risk and recidivist brokers, sales practices, financial risks, operational...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: January 2017
Recent Posts
- Judge denies Wells Fargo’s bid for restraining order against former broker
- FINRA fines, suspends ex-Merrill Lynch broker over unauthorized trading
- FINRA releases 2025 regulatory report to help firms strengthen compliance programs
- Financial advisors reaching out to clients affected by Los Angeles wildfires
- 3 former Wells Fargo executives fined for unsafe banking practices involving fake accounts
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