SRO proposes added measures to protect investors from exploitation
Notes must meet two-part test to count as evidence
FINRA to accelerate arbitration process for vulnerable clients
Parallel cases by SEC, CFTC and state regulators result in restitution, penalties
Pair stole millions from clients, including vulnerable investors
Firm repaid almost $600,000 to client for losses, DSC fees, tax, lost gains
Alleged scheme sold US$46 million in phantom interests in genuine vehicles
Former Assante rep agrees to ban, $2.3 million in sanctions
Service has helped recover money for investors, generated enforcement referrals
Better integrating immigrants could solve productivity puzzle