FINRA recently barred a registered representative and fined that person $52,270, which represented the commissions he received from the sale of debentures to 12 senior investors. So what was so
Continue Reading So Who Thinks FINRA Is Not Serious About Elder Issues?

As of December 12, 2015, FINRA will release Form U-5s within three business days of a member firm’s submission, instead of the fifteen days currently provided for under Rule 8312.
Continue Reading So what does the expedited release of a Form U-5 mean for you