Articles Tagged with disciplinary actions

FINRA Disciplinary Actions: August 2019

September 26, 2019 | by Fitapelli Kurta

August 2019 Disciplinary Actions When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full August 2019 report can be viewed here. […]

FINRA Disciplinary Actions: July 2019

August 7, 2019 | by Fitapelli Kurta

FINRA, the Financial Industry Regulatory Authority, has issued its July 2019 monthly report of disciplinary actions levied against brokers and brokerage firms. The report includes information about brokers barred by FINRA for document forgery and annuity churning, among other activities, as well as brokers suspended by FINRA for improperly liquidating variable annuities and engaging in […]