{"id":29340,"date":"2023-06-05T21:55:22","date_gmt":"2023-06-06T02:55:22","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=29340"},"modified":"2023-06-05T21:55:22","modified_gmt":"2023-06-06T02:55:22","slug":"brokerage-firm-negligence-lawyers","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/brokerage-firm-negligence-lawyers\/","title":{"rendered":"Brokerage Firm Negligence Lawyers"},"content":{"rendered":"

When Broker-Dealer Supervisory Failures Don’t Protect Investors\u2019 Best Interests\u00a0<\/strong><\/p>\n

Our Trusted Brokerage Firm Negligence Lawyers May Be Able To Help You \u00a0Pursue Damages<\/strong><\/p>\n

The Financial Industry Regulatory Authority (FINRA) is ordering two broker-dealers to pay penalties for compliance failures related to Regulation Best Interest (Reg BI)<\/a>. According to the self-regulatory organization (SRO), DMK Advisor Group<\/a> and Harpeth Securities<\/a> did not have the necessary policies and procedures to make sure that their registered representatives abided by this standard of conduct. As a result, both broker-dealers, which also were found to have engaged in compliance failures related to Form CRS, must each pay a $35K fine. Form CRS delineates its services, conflicts, fees, disciplinary history, and other information to customers. The two financial firms did not deny or admit to FINRA\u2019s findings.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

When Broker-Dealer Supervisory Failures Don’t Protect Investors\u2019 Best Interests\u00a0 Our Trusted Brokerage Firm Negligence Lawyers May Be Able To Help You \u00a0Pursue Damages The Financial Industry Regulatory Authority (FINRA) is ordering two broker-dealers to pay penalties for compliance failures related to Regulation Best Interest (Reg BI). According to the self-regulatory organization (SRO), DMK Advisor Group […]<\/p>\n","protected":false},"author":2,"featured_media":29341,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[4769,3762,4055,4835],"tags":[4890],"class_list":["post-29340","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-broker-negligence","category-current-investigations","category-featured-investigation","category-unsuitability-attorney","tag-brokerage-firm-negligence-lawyers"],"yoast_head":"\nBrokerage Firm Negligence Lawyers<\/title>\n<meta name=\"description\" content=\"When Broker-Dealer Supervisory Failures Don't Protect Investors\u2019 Best Interests\u00a0 Contact Our Team of Brokerage Firm Negligence Lawyers\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link 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