rogue brokers

FINRA Targets Rogue Brokers with History of Abuse

FINRA Targets Rogue Brokers with History of Abuse

The Financial Industry Regulatory Authority (FINRA) has released a serious of proposals aimed at implementing tougher supervisory protocols on brokers with a history of misconduct. Sponsoring brokerages would be forced to institute heightened supervisory measures on these brokers or be held responsible for any subsequent transgressions.