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by Bill Singer

RRBDlaw: the May FINRA enforcement updates (first round now online)

May 16, 2011

Bill Singer has begun his monthly update of notable Financial Industry Regulatory Authority ("FINRA") cases.  The first batch of enforcment cases contains a number of interesting regulatory allegations -- particularly for failed due diligence, inadequate electronic storage, mini-max offerings, and failure to obtain the required approval from FINRA to expand an existing member's business.  You should monitor the updates over the next few days at http://RRBDlaw.com but here are some selected additions of interest: 

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