Penalties: TBD
Respondent: Marc Anthony Last
Violation: In November 2016, while registered with NYLIFE Securities LLC (“NYLIFE” or the “Firm”), a FINRA-regulated broker-dealer, Respondent Marc Anthony Last (“Last” or “Respondent”) converted $5,000 from one of his customer’s variable annuity accounts, in violation of FINRA Rules 2150 and 2010… Read More
179 Enforcement Actions in the U.S. over past 30 days
FINRA enforcements increased 21% over the past 30 days
FTC issued enforcements: $8,726,254.27 over the past 30 days
165 Final Rules go into effect in the next 30 days
55 Mortgage Lending docs published in the last 7 days
5330 docs with 12540 extracted obligations from the last 7 days
108 new Proposed and Final Rules were published in the past 7 days
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