Month: August 2012
FINRA fines Rodman & Renshaw
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory...
CFP Revocations Announced
According to a report in Financial Advisor magazine, the Certified Financial Planner Board revoked the Certified Financial Planner mark...
Merrill Lynch Deferred Compensation Class Action Settlement
According to reports in Reuters, Merrill Lynch has agreed to a proposed $40 million class action settlement with 1,400 brokers over...
Update on Investigation into Icon Leasing Fund Eleven
Icon Leasing Fund Eleven Investment Losses We continue to receive calls from people concerned about their Icon Leasing Fund Eleven...
Sobering study about financial abuse of seniors
According to a recent survey of 2,649 financial planners conducted by the nonprofit organization Certified Financial Planner Board of...
