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FINRA Enforcement & Market Regulation

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Printer-Friendly Quarterly Disciplinary Review

FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases). These summaries call attention to, and remind registered representatives and firms of, specific conduct that violates FINRA rules and may result in disciplinary action.

FINRA also provides detailed disciplinary information and decisions and a summary of monthly disciplinary actions.

April 2008

January 2008