Skip to Primary Navigation

FINRA disciplinary action update #40

Montage of person walking by the FINRA sign.
GRIP Montage: Getty Images

Disciplinary decisions issued November 24 – 30, 2023.

TD Private Client Wealth censured and fined for allegedly failing to review employee emails

The firm failed to place the email accounts of its new employees into the electronic queue established for the review of emails. These problems arose primarily as a result of a lack of adequate procedures as

Get full access, free for a month

This is a Premium article. Start your 28-day free trial to continue reading and access all content on GRIP – no payment details required.

What’s included:

  • Every new article, plus our 5,000+ archive
  • Daily regulatory insight and guidance
  • Exclusive interviews and in-depth analysis
  • Coverage of industry-leading events and conferences
  • All podcasts and videos, featuring industry experts
  • The full set of Rules Navigator tools
  • An ad-free experience