Written By ESR News Blog Editor Thomas Ahearn On July 29, 2019, the Financial Industry Regulatory Authority (FINRA) – which regulates brokerage firms doing business with the public in the U.S. – announced it had fined Citigroup Global Markets Inc. (CGMI) $1.25 million for failing to conduct timely or adequate background checks on more than 10,000…
Written By ESR News Blog Editor Thomas Ahearn Beginning on July 9, 2018, the Financial Industry Regulatory Authority (FINRA) started to perform financial background checks that include a public records review within 15 calendar days after a firm applies to register an individual with FINRA to enhance the quality of information about individual brokers available…
Written By ESR News Blog Editor Thomas Ahearn On November 21, 2017, the Financial Industry Regulatory Authority (FINRA) – which regulates brokerage firms doing business in the U.S. – announced it had fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct adequate background checks on approximately 8,600, or 95 percent, of its non-registered associated…
Written By ESR News Blog Editor Thomas Ahearn Banks and financial entities have a special obligation to exercise care when hiring due to regulations and the need to maintain a workforce that clients will trust. To help with this task, Attorney Lester Rosen, founder and CEO of Employment Screening Resources (ESR), will present a…
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