(Financial Advisor IQ, by Rita Raagas De Ramos November 28, 2017) http://financialadvisoriq.com/c/1806543/209103 UBS is withdrawing from the Protocol for Broker Recruiting, effective December 1, making it the second wirehouse and first original signatory to announce its exit.
Edward Jones Stockbroker Shot Blanks In FINRA Customer Signature Settlementhttp://www.brokeandbroker.com/3690/finra-signature-/ It's holiday time and that means another year about to go under your belt. Which also means that you're getting ready for another round of annual compliance meetings, annual compliance questionnaires, and annual reviews of your book of business (and you're once again hoping that your firm doesn't uncover that short-cut you took with some paperwork and doesn't ask too many questions about the losses in that nice widow's account). In a recent FINRA regulatory settlement, we consider the fine and suspension imposed upon a registered rep who engaged in an excess of customer service when it came to completing forms and obtaining original signatures. Bah Humbug! Now that's the holiday spirit! READhttp://www.brokeandbroker.com/3690/finra-signature-/
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/70... Read On
Bill Singer, Publisher of the Securities Industry Commentator and the BrokeAndBroker.com Blog, Calls for BOYCOTT of 2023 FINRA Elections
BREAKIN... Read On
Bill Singer, Publisher of the Securities Industry Commentator and the BrokeAndBroker.com Blog, Calls for BOYCOTT of 2023 FINRA Elections
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SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements (BrokeAndBroker.com Blog)
Financial Professionals Coalition, Ltd. JOIN TODAY --... Read On
SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements (BrokeAndBroker.com Blog)
Financial Professionals Coalition, Ltd. JOIN TODAY --... Read On