FINRA Investigations And Disciplinary Actions

FINRA Declines To Fine, Suspend Or Expel Investment Banking Associate In New York Who Repeatedly Doctored Expense Receipts Recently, I was approached by a former investment banking associate ("the former associate," "the ex-associate," "my former associate client, or "my ex-associate client") who, over two years after she quit her employment with a brokerage firm in New York City and began…Read More

FINRA Declines To Fine, Suspend Or Disbar Registered Representative In New York Who Falsely Told Her Brokerage Firm That She Had Passed And/Or Taken A Securities License Examination Recently, I was approached by an anti-money laundering associate ("the associate" or "my associate client") who -- while her brokerage firm in New York City was conducting an internal investigation of her…Read More