On August 3, 2022, FINRA issued Regulatory Notice 22-18 in response to reports of registered representatives and associated persons forging or falsifying customer signatures, or signatures of colleagues or supervisors,...more
Last week FINRA announced a new inquiry into firms’ use of social media and “influencers” to attract clients. After the well-publicized market volatility in GameStop, which was bolstered by an online influencer known as...more