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The SEC, MSRB and FINRA will gather in Denver Nov. 20-21 to discuss compliance for MAs and broker-dealers, examination priorities, and more.
July 1 -
The firm violated MSRB Rules G-15 on confirmation, G-8 on books and records and G-27 on supervision, FINRA found.
April 30 -
Christopher Perillo agreed to settle charges that he improperly had access to study materials during an examination.
April 2 -
According to FINRA, the mispricing resulted in customer harm amounting to $44,927.83, on top of the $90,000 fine.
March 8 -
According to FINRA, the banking giant failed to close out 239 inter-dealer transactions in a timely manner as well as failing to take possession of 247 short positions.
February 16 -
The veteran-owned Academy Securities failed to file Form G-37 reports in a timely manner, and failed to disclose another 60 municipal underwritings where the firm acted in a managerial capacity.
January 30 -
The regulator has charged a former chief compliance officer $15,000 and a firm $100,000 in twp separate enforcement actions.
January 22 -
The firm settled charges with FINRA over failing to include the Non-Transaction Based Compensation indicator for 91,059 reports of municipal securities transactions over a five year period.
January 12 -
Without admitting or denying the findings, David Elgart of Sequoia Investments has agreed to a $20,000 fine and an 18-month suspension from association with any FINRA member firm for acting as an unregistered dealer.
January 5 -
Knoxville, Tennessee-based Home Financial Services failed to disclose execution time, mark ups and mark downs to customers on municipal securities transactions, FINRA said.
November 13