Raymond James Wrongful Discharge Case
Is A Minefield For Stockbroker
Not Borrowing Money From Customers
Got Stockbroker Suspended
FINRA's Borrowing Rule contemplates that an actual loan occurred and that the registered person failed to obtain prior firm approval for that loan. All of which presents us with the conundrum of whether you can properly charge a registered person with failing to provide prior notice to an employer firm about a proposed loan that never happened.
Three Respondents Cited In 539 Plan FINRA Settlement For the purpose of proposing a settlement of rule violations alleged by the Financial Industry R... Read On