The MFDA permanently banned the dealer in 2016
Rep’s refusal to cooperate with investigation was deemed an aggravating factor
The SRO issued a report Wednesday analyzing data from its client research project
Ratings up across the board for the fund dealer regulator
Proposal would allow fund dealers to engage in a limited form of discretionary trading
A proposed rule change would better align the self-regulatory organization's provisions for information with those of OBSI
The organization is accepting applications until March 22
Suspicious email are not legitimate, the MFDA warns, and dealers should not open the attachments or click on any links
"The respondent took advantage of her. The facts are shocking," an MFDA panel said
The MFDA alleged the rep launched a coffee business with a client and solicited investments in the business from several others