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Tag: discretionary accounts

Blog, Securities Fraud Articles

January 26, 2012

Wunderlich Securities, Inc. fined by FINRA

Wunderlich Securities, Inc. (CRD #2543, Memphis, Tennessee) recently submitted a Letter of Acceptance, Waiver and Consent in which the...

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Blog, Securities Fraud Articles

November 18, 2009

FINRA Rules regarding Discretionary Accounts

As provided for in FINRA Notice to Member (NTM) 09-63, the following rules currently apply to discretionary brokerage accounts: FINRA Rule...

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