Amendments would increase the size of its governance committee and the term limits for directors
More thorough reporting and oversight are suggested
The committee of senior compliance personnel meets quarterly
The self-regulatory organization has issued a warning bulletin
The former rep took advantage of a widow, the panel found
The SRO alleges the rep solicited almost $200,000 in client investments in a coffee business
Regulator uncovers pattern of uniform know-your-client information
Syndicated mortgages resulted in referral fees of more than $12K
The case offers a cautionary tale for book sales
Client was his sister-in-law