Month: July 2011
Collective Action Claims for Financial Advisors
FINRA Proposes Rule Change for Class Action Employment Claims According to Investment News, FINRA will be proposing a rule change that...
Reverse Convertible Sales: UBS, Morgan Stanley, Ameriprise
According to the Investment News, Georgia recently requested information from UBS AG, Morgan Stanley and Ameriprise Financial Inc. in its...
Massachusetts suing RBC over ETF sales
According to the Investment News, Massachusetts’ top securities regulator is suing RBC Capital Markets LLC and one of its former...
SEC Enforcement Action Involving Jennifer Kim
On July 12, 2011, the Securities and Exchange Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings...
SEC Enforcement Action Involving Janney Montgomery Scott
On July 11, 2011, the Securities and Exchange Commission announced today the institution and settlement of an enforcement action against...
