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The SEC emphasized that First Horizon did not maintain and enforce its own Reg BI-related policies and procedures, leading to this violation.
SEC alleges the firm and representative failed to exercise reasonable diligence, care, and skill in making recommendations.
Disciplinary decisions issued June 22 – 28, 2024.
Disciplinary decisions issued May 18 – 24, 2024.
At the FINRA annual conference, industry executives talked about how SEC and FINRA rules work in practice.
Disciplinary decisions issued May 11 – 17, 2024.
Disciplinary decisions issued April 6 – 12, 2024.