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Recent Posts in Securities Based Lending Category

Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing

With Wells Fargo's credit card and savings divisions already disciplined by the Federal Reserve over a fake account scandal during which the bank opened bogus accounts on behalf of its customers, ...
Continue reading "Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing" »

Merrill Lynch to Pay $7 Million in Fines & Restitution for Inadequate Supervision of Leverage Use in Customer Accounts

FINRA fined Merrill Lynch $6.25 million and ordered the firm to pay an additional $780,000—totaling over $7 million in penalties—for inadequate supervision of its customer's use of ...
Continue reading "Merrill Lynch to Pay $7 Million in Fines & Restitution for Inadequate Supervision of Leverage Use in Customer Accounts" »

FINRA Cracks Down on Cross-Selling Programs in Wake of Wells Fargo Fiasco

In the wake of the fake account creation scandal at Wells Fargo, which the Consumer Financial Protection Bureau called "fraudulent conduct...on a massive scale" as employees engaged in ...
Continue reading "FINRA Cracks Down on Cross-Selling Programs in Wake of Wells Fargo Fiasco" »

2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products

2016 FINRA Priorities Letter Includes Culture and Ethics, Suitability, Seniors, Complex Products FINRA released its 2016 Regulatory and Examination Priorities Letter in which the regulator specified a ...
Continue reading "2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products" »

Securities-Based Lending, Alt Funds Catch FINRA's Eye in 2015

Investors borrowing against the value of their portfolios—also known as securities lending—caught FINRA's attention in its annual Regulatory and Examinations Priorities Letter for ...
Continue reading "Securities-Based Lending, Alt Funds Catch FINRA's Eye in 2015" »
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