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FINRA disciplinary action update #40

Montage of person walking by the FINRA sign.
GRIP Montage: Getty Images

Disciplinary decisions issued November 24 – 30, 2023.

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