Suitability Archives - Page 4 of 6 - FrankowskiFirm Blog Posts

FINRA Intends To Probe Brokerages’ Compliance Culture

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FINRA intends to investigate whether complying with rules is part of brokerage firms’ culture during its examinations this year. The […]

by Richard FrankowskiFINRA, Press Releases & News, SECJanuary 5 2016 FINRA Fines Barclays Capital $13.75M

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FINRA ordered Barclays Capital, Inc. to pay over $10 million in restitution, including interest, to affected […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 29 2015 FINRA December 2015 Disciplinary Actions: Part III

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Denny P. Darmodihardjo (Roswell, GA) submitted an AWC in which he was assessed a deferred fine […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsDecember 28 2015 History Of Investors Capital Corporation’s Malfeasance

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Investors Capital Corporation, a dually-registered independent Broker/Dealer and Investment Advisory firm, has a long history of […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsNovember 11 2015 FINRA Wants ‘Significant Fine’ From MetLife For Variable Annuity Sales

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MetLife Inc., the biggest life insurer in the country, said that FINRA will seek a “significant […]

by Richard FrankowskiFINRA, Press Releases & NewsNovember 6 2015 FINRA Interested In Disciplining, Not Punishing

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FINRA emphasized that the regulatory authority’s first goal is the “blocking and tackling” of enforcing its […]

by Richard FrankowskiFINRA, Press Releases & NewsNovember 5 2015 Investors Lose $11.7 Million In Risky Hedge Fund Through Lincoln Financial

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According to a FINRA Letter of Acceptance, Waiver and Consent (“AWC”), between about October 2008 and […]

by Richard FrankowskiFINRA, Press Releases & NewsSeptember 24 2015 FINRA Sanctions Ten Former Global Arena Representatives

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During a 2014 onsite exam, FINRA found numerous securities violations at Global Arena Capital Corp., including […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsSeptember 23 2015 FINRA August 2015 Disciplinary Actions: Part III

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Edward D. Jones & Co., L.P. of St. Louis, Missouri submitted a letter of acceptance, waiver, […]

by Richard FrankowskiFINRA, Press Releases & NewsSeptember 17 2015 SEC Warns Brokerages To Monitor Sales Of Risky Products

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The SEC alerted brokerages that they need to monitor the sales of risky complex investments to retail […]

by Richard FrankowskiPress Releases & News, SECAugust 26 2015