RRBDlaw.com's monthly FINRA updates now online. Full analysis by Bill Singer

March 1, 2011

NOW ONLINE! 

Bill Singer of RRBDlaw.com's monthly analysis of key FINRA regulatory cases.

January and February 2011 cases now posted.

http://www.rrbdlaw.com/enforcement-actions/index.php?cid=1

 

Stock to Cash Program: A rash of cases involving a program whereby customers entered into a lending arrangement pledging their stock to get cash loan.  Millions of dollars later, it looks like a number of registered persons didn't do their homework.

ATMs: We have a couple of cases involving shenanigans involving ATMs.

AWAY ACCOUNTS: You work at X but you have a brokerage account at Y.  You may also have some problems with FINRA if you don't have permission for the Y account and you haven't told X about it.

CREDIT CARDS: Mine, yours, ours . . . and someone else's

DECEASED: The trouble with the dead is that sometimes they reach out from the grave.

NOW ONLINE! 

Bill Singer of RRBDlaw.com's monthly analysis of key FINRA regulatory cases.

January and February 2011 cases now posted.

http://www.rrbdlaw.com/enforcement-actions/index.php?cid=1