Search for: "IN RE SCOTTRADE, INC."
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29 Jun 2015, 3:59 am
Consider this recent case where a firm agreed to enhance its protocol for notifying customers of wiring funds to third parties.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (FINRA), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Scottrade, Inc. [read post]