Announcement states there are reasons to believe agent won’t conduct business lawfully.
Facilitated trade that allowed client’s spouse to abscond with $10,000.
Firm sanctioned for failing to detect uniformity in information recorded by terminated advisor.
Summary includes current issues and compliance challenges regulated dealers should focus on.
Mutual fund regulator’s case is ongoing.
Limited experience and early admission taken into consideration by hearing panel.
Mutual fund sales representative named the sole beneficiary of a vulnerable client’s estate.