FINRA Focused on e-Mail Retention

Last week FINRA fined LPL Financial LLC $7.5 million for e-mail violations. This is the largest fine brought by FINRA solely for e-mail violations, but it is indicative of the... [...]

The Securities and Exchange Commission announced fraud charges and an asset freeze this week against a trader at a Dallas-based investment advisory firm, Cushing MLP Asset Management, who improperly profited... [...]

Sutherland Partners reviewed FINRA’s monthly disciplinary notices and found that in 2012 FINRA brought slightly more disciplinary actions but assessed a double-digit increase in fines. This was the fourth consecutive... [...]