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The Financial Industry Regulatory announced the action Wednesday, saying it stemmed from the firms' supervisory failures.
November 6 -
The Municipal Securities Rulemaking Board plans a review after pressure from Sens. John Kennedy and Elizabeth Warren to change the makeup of its membership.
October 25 -
After getting national attention for allegedly swindling millions from a disabled billionaire client, brokers Ami Forte and Charles Lawrence have been barred from the industry.
October 21 -
The dealer entered into two municipal bond orders into a recently deceased customer's account.
October 17 -
The Financial Industry Regulatory Authority's 2019 Report on Examination Findings, released Wednesday, discussed violations FINRA personnel discovered.
October 16 -
The firm attached a corrective action statement detailing changes to its personnel, compliance department and municipal trading desk.
October 15 -
Administrative failures or a lack of understanding of the rule may be to blame.
October 7 -
The Financial Industry Regulatory Authority previously sanctioned UBS in 2015 for similar violations.
October 2 -
The New York-based firm mismarked 90% of its municipal securities trades, FINRA found.
September 19 -
Late last week FINRA sent out a notice reminding its members to register as MAs if they engage in investment-related activity with their clients.
August 23