Tag: FINRA Enforcement

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Enforcement News

Wells Fargo Gets Fined…Again

What happened to Wells Fargo? Fine after fine. Our colleagues from Wachovia who are still there must be shaking their heads. This fine is for the same violation that Wells Fargo was fined for in 2016. FINRA Fines Wells Fargo $2.25M Over Handling of Client Data

Brokers Compliance Featured Articles

Responding to a FINRA Rule 8210 Request

By Mark J. Astarita, Esq. seclaw.com/glossary/finra-rule-8210/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA Rule 8210 FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) is the starting point of virtually every FINRA Wells Notice and enforcement proceeding, as it gives FINRA the authority to request documents and testimony from firms, registered persons […]

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SEC Approves Publication of Disciplinary Proceedings

Approves Removal of Prior Restrictions – Notice to Members 00-36 By Mark J. Astarita, Esq.   NASD Notice to Members 00-36 SEC</div><div class=glossaryItemBody>The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC Approves Rule Change To Permit Publication Of All Final Litigated Decisions Issued By The Office Of Hearing Officers, The National Adjudicatory Council, And The NASD Board Effective Date: […]

Brokers Compliance

FINRA Enforcement

According to FINRA’s public statements, one of its top priorities is enforcement of its rules, as well as the federal securities laws. FINRA investigates activity which is believes may indicate a securities law violation, and files disciplinary proceedings against firms and their associated persons to address such violations. A FINRA […]