Month: August 2016

FINRA Disciplinary Review

By Joseph Fede, CPA, GMA, Supervisor – WithumSmith+Brown, PC Over the past several years, the Financial Industry Regulatory Authority (“FINRA”), the self-regulatory organization responsible for regulating every brokerage firm doing business in the US, brought between 1,300 and 1,600 disciplinary actions each year.  In 2015, it ordered $95 million in […]