• One enterprising registered person funded new customer checking accounts with his own money in order to open them. Then, he made online bill payments from each of the new accounts to credit card accounts in his name in order to qualify for incentive benefits from his firm and to reimburse himself for the initial deposits he made to open the accounts.
  READ HERE at http://www.rrbdlaw.com/enforcement-actions/index.php?cid=1#2009017472801
  
• How about this clever FINRA sanction: The member firm is suspended some $42,000 plus in restitution is paid to customers. The fact that the firm previously agreed to pay some $100,000 in restitution (as set forth in a former FINRA Offer of Settlement) but thereafter failed to make the full payment, may have influenced this novel response. 
  READ HERE at  http://www.rrbdlaw.com/enforcement-actions/index.php?cid=1#2008011565203
  
• What's going on with Universal Lease Programs (ULPs)? FINRA cites several violations in November. 
  READ HERE at  http://www.rrbdlaw.com/enforcement-actions/tags.php?term=Universal Lease Programs&year=2010
  
• I hate these types of cases but have to report them anyway. A broker gets power of attorney for an elderly client -- soon to be in the throes of dementia and Alzheimer's -- and $358,000 in personal checks from the client somehow find their way into his hands.
  READ HERE at http://www.rrbdlaw.com/enforcement-actions/index.php?cid=1#22007009405201
  
• And as if the above case weren't upsetting enough, here's another. This guy financially exploited several elderly women through a power of attorney.
  READ HERE http://www.rrbdlaw.com/enforcement-actions/index.php?cid=1#2008014974201
  
• Remember the old look at your Series 6 study materials in your locker while you take a bathroom break at the exam site?
  READ HERE at http://www.rrbdlaw.com/enforcement-actions/index.php?cid=1#2009020840201
  
• What do you think happens when you liquidate positions in a dead client's account?
  READ HERE at http://www.rrbdlaw.com/enforcement-actions/index.php?cid=1#2009020204101

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