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Displaying 81 - 90 of 1438 Results
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Violations That Generally Are Not Subject to Censure When Monetary Sanctions of $7,000 or Less Are Imposed
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<strong>Quality of Markets Violations</strong>
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•   ACT Violations—FINRA Rules <ref book="2403" rule="4390">7210A</ref>–<ref>7280A</ref>, <ref>7310</ref>–…
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•   Disqualified Persons—Failure to Discharge Supervisory Obligations
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•   Supervision—Failure to Comply With Taping Rule Requirements
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•   Supervision—Failure to Supervise
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•   Churning or Excessive Trading
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•   Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications
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•   Customer Account Transfer Contracts—Failure to…
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•   FOCUS Reports—Late Filing; Failing to File; Filing False or Misleading Reports
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•   Forms U4/U5—Late Filing of Forms or Amendments; Failing to File Forms or Amendments; Filing of False, Misleading or Inaccurate Forms or Amendments
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•   Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
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•   Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
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•   Backing Away
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•   Branch Offices—Failure to Register
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•   Cheating, Using an Impostor, or Possessing Unauthorized Materials in Qualifications Examinations or in the Regulatory Element of Continuing Education
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•   Continuing Education (Firm Element)&#…
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•   Conversion or Improper Use of Funds or Securities
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•   Forgery and/or Falsification of Records
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<strong>Conversion or Improper Use of Funds or Securities</strong>
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FINRA Rules <ref>2010</ref> and <ref>2150</ref><sup>1</sup>, and…
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•   Confidentiality Agreements—Settling With Customer in Exchange for Customer Agreement Not to Cooperate With Regulatory Authorities
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•   Failure to Respond, Failure to Respond Truthfully or in a Timely Manner, or Providing a Partial but Incomplete Response to Requests Made Pursuant to FINRA <ref>Rule 8210…
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•   Customer Confirmations—Failure to Comply With Rule Requirements
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•   Customer Protection Rule—Failure to Comply With Rule Requirements
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•   Net Capital Violations
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•   Corporate Financing Rule—Failure to Comply With Rule Requirements
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•   Engaging in Prohibited Municipal Securities Business
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•   Escrow Violations—Prohibited Representations in Contingency Offerings; Transmission or Maintenance…