“He’s making a list, checking it twice. . .”
As part of our end of year wrap up, we present to you Santa's Naughty List. The definitive list of individuals and corporations who will be receiving a bag of coal from Mr Claus this Christmas.
Be sure to check in tomorrow, when we post Santa's Nice List. Subscribe to stay notified.
*The data collected is from January - November 2017.
We have tracked the monthly and quarterly disciplinary actions taken by FINRA against member firms in 2017 and present to you 6 takeaways we have identified by delving into the numbers behind the released enforcement actions.
We at MCO keep a close eye on the activities of the regulators. Here we take a look at five findings from FINRA fines in Q3 2017.
