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Tag: e-mail retention

Blog, Securities Fraud Articles

May 16, 2011

Workman Securities Corporation Sanctioned by FINRA

Workman Securities Corporation (CRD #31898, Eden Prairie, Minnesota) recently submitted a Letter of Acceptance, Waiver and Consent in which...

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Blog, Securities Fraud Articles

October 18, 2010

FINRA Fines Piper Jaffray For Rules Violations.

FINRA recently announced that it has fined Piper Jaffray & Co. $700,000 for violations related to its failure to retain approximately...

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