Author: Olivia Scuteri

December 2019 FINRA Disciplinary Actions

FINRA disciplinary actions taken against firms...

November 2019 FINRA Disciplinary Actions

FINRA disciplinary actions taken against firms...

October 2019 FINRA Disciplinary Actions

FINRA disciplinary actions...

Cybersecurity Alert: Cloud-Based Email Account Takeovers (Information Notice 10.2.19)

Cybersecurity has become a continuous concern...

September 2019 FINRA Disciplinary Actions

FINRA disciplinary actions...

August 2019 FINRA Disciplinary Actions

FINRA disciplinary actions taken against firms...

July 2019 FINRA Disciplinary Actions

The following disciplinary...

June 2019 FINRA Disciplinary Actions

The following disciplinary actions were...

May 2019 Disciplinary Actions

The following disciplinary...

April 2019 FINRA Disciplinary Actions

Firms Suspended CSSC...

SEC Approves Electronic Signatures for Discretionary Accounts

Beginning May 6,...

March 2019 FINRA Disciplinary Actions

The following disciplinary...

February 2019 FINRA Disciplinary Actions

The following disciplinary...

January 2019 Disciplinary Actions

The following disciplinary...

December 2018 Disciplinary Actions

Firms Fined Ascensus...

November 2018 Disciplinary Actions

The following disciplinary actions...

October 2018 Disciplinary Actions

The following disciplinary...

September 2018 Disciplinary Actions

The following disciplinary...

October 1st Deadline – Principal Financial Officer and Principal Operations Officer Requirement

As of October...

July 2018 Disciplinary Actions

The following disciplinary...