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Summaries and explanations of the latest regulatory compliance announcements, reports and related stories.

Regulatory Briefs Olivia Scuteri, CAMS Regulatory Briefs Olivia Scuteri, CAMS

July 2019 FINRA Disciplinary Actions

The following disciplinary actions were taken against both firms and individuals due to violations of FINRA rules, federal securities laws and MSRB rules. Firm Fined: Midtown Partners & Co., LLC. The Firm was fined $50,000 for failing to enforce the policies and procedures outlined in its WSPs related to the trading of securities on the Restricted List and Watch List.

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