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The dealer entered into two municipal bond orders into a recently deceased customer's account.
October 17
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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
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FINRA settled with two parties after they violated MSRB Rule G-17 by whiting out dates and failing to disclose a $2 million fee up until an issuance.
August 2 -
J.W. Korth & Co. was found to have charged excessive markups in 38 sales of municipal securities.
May 23 -
The Securities and Exchange Commission is on the lookout for municipal advisors skirting the Series 50 Exam.
May 17
