The councils provide industry personnel to preside over the self-regulatory organization’s disciplinary hearings
The SRO is looking to deal with certain cases more quickly
The proposals aim to provide faster resolution and allow the SRO to focus resources on more serious cases
More than 3,000 customers have received compensation for losses as a result of non-compliant conduct by advisors
The U.S. self-regulatory organization is looking to improve arbitration payouts to clients
Lynne Rae Nickford ordered to pay $300,000 administrative penalty and disgorgement
The allegations relate to the sale of over $800,000 worth of securities in MultiCast Networks
The dealer has implemented controls to prevent a similar issue from occurring in the future
An OSC panel was reasonable in concluding that advisors should have known they were acting on inside information
Harassing and abusive conduct violates ethical principles