In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures
The White Law Group reviews securities fraud cases throughout the country, including
Established in 1832, Janney Montgomery Scott is a Philadelphia, Pennsylvania based
Waddell & Reed’s sales practices have been the subject of regulatory inquiry
FINRA recently announced that it has fined Edward D. Jones & Co., L.P. of St.
FINRA recently announced that it has fined Deutsche Bank Securities, Inc. $7.5m for