Regulatory Wrap episode 67: The $80K cover-up FINRA didn't miss
Автор: Global Relay
Загружено: 2025-08-01
Просмотров: 14
In this episode of Regulatory wrap, we break down the case of a former Charles Schwab rep who was fined and suspended for using personal devices and off-channel comms to conceal an unauthorized profit-sharing arrangement with a customer.
Highlights from this episode:
1. $80K in secret profit-sharing disguised through non-firm accounts
2. Thousands of unapproved texts and emails sent via personal devices
3. Violations of multiple FINRA rules and SEC recordkeeping obligations
4. A timely reminder that misconduct has a way of coming to light one way or another
This episode is brought to you by our Senior Content Writer, Jay Hampshire.
#RegulatoryWrap #FINRA #SEC
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