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Without admitting or denying the findings, Blaylock Van consented to FINRA's findings that it failed to establish and maintain written supervisory procedures.
January 5 -
FINRA accused the firm of negligently misrepresenting monthly account statements.
November 7 -
The MSRB will seek comment on Rule G-3 on professional qualifications that would add an exemption for muni advisors having to requalify in instances where their qualification had lapsed.
October 28 -
FINRA and MSRB actions are drawing broker-dealer firms to lobbying groups.
August 25 -
Broker and investment advisor Wayne von Borstel has been suspended by FINRA for 15 business days for violating MSRB Rule G-8 on recordkeeping
August 1 -
Most municipal securities trades are reported to the MSRB well under the current 15-minute rule, and it's unclear how a one-minute mandate would "benefit investors or increase transparency," the ASA said.
June 24 -
The Securities and Exchange Commission has sustained the Financial Industry Regulatory Authority’s disciplinary action against J.W. Korth & Company.
April 5 -
The 70-page report homed in on some muni-specific risks uncovered during examinations.
February 9 -
FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.
February 8 -
Some firms are voluntarily self-reporting potential supervisory and suitability rule violations.
December 22