Fines & Wines

The Problem with Customer Account Statements and Disclosures

November 11, 2022 TRADEliance Season 1 Episode 5
Fines & Wines
The Problem with Customer Account Statements and Disclosures
Show Notes

$850,000 fine for issues related to statements and required disclosures

  • The ladies share their love of Snoop Dogg and the Bond Dealers of America National Fixed Income event
  • Statements can be hard
  • Vendor Oversight is harder
  • Negligent is the case that they gave me, I’m fresh up out my certification to FINRA that my systems are compliant.

Read the full AWC here.
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