Posts from June 2016.

When you receive an “8210 letter” from FINRA, your whole world can change.  FINRA does not have subpoena power; rather, their investigative power comes from FINRA Rule 8210.  But, that rule is very powerful when it comes to member...

Having a firm culture that puts client interests first is the basis of the fiduciary duty. Any BD that believes that all they have is a suitability requirement is living in La La land. Almost all arbitration claims against...

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