Posts in Broker-Dealers.

The outcome of a recent jury trial in Manhattan has underscored the importance of the Securities and Exchange Commission's new Regulation Best Interest and the Commission's ongoing commitment to enforcing the standard of investment suitability for retail clients.

If you run afoul of FINRA rules and regulations, FINRA has the authority to fine, suspend or bar brokers and firms from the industry. Depending on the violation, when it was discovered, and by whom, you may be faced with...

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