Call us now at 800.247.3272 , or Contact Us Online

Archive for May 2017

Rogue Broker, I don’t think so

Broker dealers response to Finra’s priority letter leaving quality advisors under the bus Back in January, Finra released their exam priority letter to broker dealers. The letter made it very clear their focus this year would be on identifying recidivist brokers or “rogue brokers”.  The letter also emphasized that they would be looking more closely…

Read More
[gravityform id="2" title="false" description="false" ajax="false"]