Equitable’s Settlement With The SEC Demonstrates That A Single Customer Complaint Can Serve As Notice Of A Systemic Issue
Barclays AWC Teaches Important Lessons About The Price To Pay For Not Heeding Exam Findings
When It Comes To GPB, FINRA Looks At Things Quite Differently Than The SEC And The DOJ
The 411 On FINRA Rule 4111
FINRA’s Fixation On Unpaid Arbitration Awards Has Morphed Into Something More Dangerous
More Thoughts On The Age Of FINRA Arbitrators
Lack Of Diversity In FINRA Arbitration Panels, Or, How Many Old, White Guys Does It Take To Hear A Case?
When It Comes To Paying Commissions Only To Registered Persons, You Can’t Do Indirectly What You Can’t Do Directly. Or Can You?

FINRA Continues To Turn Its Back On Its Members By Failing To Pass A Popular Rule
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