FINRA Enforcement: HFP Capital Markets Expelled From FINRA for Note Fraud
FINRA also censured Saddle River, New Jersey-based Felix Investments.
6 Steps to Complying With SEC Email Regulations
Hiring a vendor to capture and archive emails within your advisory firm is the beginning, not the end, of complying with SEC rules and regs.
SEC OKs FINRA’s New Supervisory Rules
The SEC has approved FINRA's new consolidated rules governing supervision as well as guidance on email reviews.
SEC Enforcement: Goldman’s ‘Fabulous Fab’ Ordered to Pay More Than $825,000
In other financial enforcement news, two brothers charged by the SEC with insider trading last June were found guilty by a jury.
FINRA’s 5 Biggest Fine Categories in 2013
Fines from one category of offenses shot up a whopping 132%, according to the law firm Sutherland Asbill & Brennan.
Enforcement Roundup: Investors Win $900,000 in FINRA Arb Over Nontraded REITs
In other enforcement news, FINRA fined Barclays over electronic record storage and Instinet felt the SEC's wrath for improper soft-dollar payments.
FINRA Fines On Track to Fall 41% This Year
The total dollar amount is projected to hit a three-year low, according to the law firm Sutherland Asbill and Brennan.
Going Mobile: LPL Announces Sweeping Tech Changes
New tech guru Victor Fetter is poised to give the largest independent broker-dealer a technological edge.
What ‘The Social Network’ Can Teach Advisors About Avoiding Enforcement Actions
Online communications make advisors vulnerable to compliance slip-ups, two attorneys warn, using quotes from the film "The Social Network" to illustrate their points.
SEC, FINRA Enforcement Roundup: Insider Trading Ring Busted; Raymond James Hit
Among recent actions taken by the SEC and FINRA were the breakup of an insider trading ring; Raymond James getting fined and censured; and proceedings over securities law violations by the Big Four accounting firms' China affiliates.