Finra expands crackdown on rogue brokers

Discussion in 'Wall St. News' started by dealmaker, Feb 1, 2018.

  1. dealmaker


    Finra expands crackdown on rogue brokers
    In its ongoing effort to crack down on rogue brokers, the Financial Industry Regulatory Authority Inc. said it will now expand its focus to brokers who have worked with or associated with high-risk brokers. Last year, Finra said it had created a new dedicated exam unit based in New York that keeps track of high-risk or recidivist brokers and was working to identify as many as 100 to 200 rogue registered reps. (Investment News)
  2. sss12