How to avoid the most common legal and regulatory infractions
The regulator has banned a rep who forged a passing grade after thrice failing a proficiency course
Accused fled to Canada in 2017 to escape U.S. justice
Three former KPMG partners suspended for sharing answers to firm's exams
Almost half of the proceedings launched by the MFDA in 2019 involved allegations of pre-signed forms
Frank Lofranco will oversee the agency’s supervision and enforcement activities
A judge sentenced the “con artist” to house arrest and two years’ probation
The former rep, who was banned for his failure to cooperate with an investigation, was also fined $75,000
Advisors should think twice before destroying records pertinent to an investigation
Proposals aim to ensure the investigative process is fair, transparent and efficient