Month: September 2009
Penson Financial Services fined by FINRA for securities violations
FINRA recently announced that Penson Financial Services, Inc. has been fined $38,000 and ordered to pay $22,663, plus interest, in...
National Securities Corporation fined for Corporate Bonds
FINRA recently announced that National Securities Corporation has been fined $105,000 and required to pay $15,697.91, plus interest, in...
Horace Grant wins award against Morgan Keegan
As reported in the Chicago Tribune, former Chicago Bull Horace Grant won a $1.46 million arbitration award against Morgan Keegan & Co....
William Fletcher arrested, accused of oil securities fraud
As reported in the Dallas Morning News, another North Texan has been arrested on accusations of oil securities fraud. This time, police...
