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FINRA Suspends Two Reps for Reg BI Violations

FINRA suspended two brokers for alleged excessive trades that were unsuitable for clients and that violated the SEC's Regulation Best Interest (Reg BI) rule. ....

New York , United States , City Of , United Kingdom , San Francisco , Todd Anthony Cirella , Charles Malico , Boca Raton , Tasin Company , Laidlaw Company , Financial Industry Regulatory Authority , Financial Services , Laidlaw Co , Best Interest , Anthony Cirella , Scott Short ,

FINRA Suspends Two Reps For Reg BI Violations

FINRA suspended two brokers for alleged excessive trades that were unsuitable for clients that violated the SEC's Regulation Best Interest (Reg BI) rule. ....

New York , United States , City Of , United Kingdom , San Francisco , Todd Anthony Cirella , Charles Malico , Boca Raton , Tasin Company , Laidlaw Company , Financial Industry Regulatory Authority , Financial Services , Laidlaw Co , Best Interest , Anthony Cirella , Scott Short ,

FINRA's First Reg BI Enforcement Action Stuns Industry With Its Adoption Of A Standard Of Conduct That . . . Is Exactly Like The Old Standard | Ulmer & Berne LLP

So, after all the hubbub about how Reg BI was going to turn the brokerage industry on its head, given the new standard of conduct – more like that of a fiduciary – that it was imposing. ....

Chris Kelly , Charles Malico , Supplementary Material , Lot Becomes Too Much ,

FINRA Facts and Trends - October 2022 | Bracewell LLP

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,. ....

New York , United States , Boca Raton , Laurence Allen , Michael Schunk , Charles Malico , National Adjudicatory Council , Office Of Hearing Officers , Department Of Enforcement , Securities Exchange , Resolution Services , Research Analysts , First Reg , Regulation Best Interest , Best Interest Obligation , Securities Exchange Act , Revised Sanctions , Regulatory Notice , Sanctions Guidelines , These Guidelines , Hearing Officers , Fine Ranges , Upper Limit , Fine Range , Large Firms , Certain Rules ,

FINRA Facts And Trends: October 2022 - Financial Services

Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement. ....

New York , United States , Laurence Allen , Michael Schunk , Charles Malico , National Adjudicatory Council , Office Of Hearing Officers , Department Of Enforcement , Securities Exchange , Resolution Services , Research Analysts , First Reg , Regulation Best , Best Interest , Securities Exchange Act , Revised Sanctions , Regulatory Notice , Sanctions Guidelines , These Guidelines , Hearing Officers , Fine Ranges , Upper Limit , Fine Range , Large Firms , Certain Rules , Unregistered Securities ,