FINRA disciplinary action update #40
Disciplinary decisions issued November 24 – 30, 2023.
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TD Private Client Wealth censured and fined for allegedly failing to review employee emails
The firm failed to place the email accounts of its new employees into the electronic queue established for the review of emails. These problems arose primarily as a result of a lack of adequate procedures as
Compliance, Disciplinary action, Enforcement, FINRA, FINRA Reg Notice 12-40, FINRA Rule 1210.05, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 2330, FINRA Rule 3010, FINRA Rule 3110, FINRA Rule 3270, FINRA Rule 4511, FINRA Rule 5123, Industry, NASD Rule 3010, SEA 1934 Rule 15l-1, SEC Reg BI, US Content