Beware of FINRA's Increased Focus on Non-Registered, Associated Persons
8/9/19
By: Elizabeth Lowery
On July 29, 2019, FINRA announced that Citigroup Global Markets, Inc. was fined $1.25 million for failing to conduct timely or adequate background checks on approximately 10,400 non-registered associated persons spanning a seven-year period from 2010 to …