Investor Alert: FINRA Suspended Alex Leon Salcedo Indefinitely for failing to comply with rules
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Furgison Law Group is considering potential claims against Scottrade Inc. related to alleged misconduct by Alex Leon Salcedo.
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News and Investor Alerts on investment scams, financial adviser fraud and other stockbroker misconduct
FINRA Fines Scottrade $2.6 Million for Failures in Electronic Records Retention
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FINRA fined Scottrade, Inc. $2.6 million for failing to retain a large number of securities-related electronic records in the required format, and for failing to retain certain categories of outgoing emails. Scottrade also did not have a reasonable supervisory system in place to achieve compliance with certain Securities and Exchange Commission (SEC) and FINRA books and records rules, which contributed to its record-retention failures.
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