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Month: September 2011

Blog, Securities Fraud Articles

FINRA Proposes More Changes to Protect Investors in Non-traded REITs

According to the investmentnews.com, FINRA has “…proposed changes to its Rule 2340, which governs customer account statements....

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Blog, Securities Fraud Articles

Raymond James Ordered to make $1.69 Million in Restitution to Customers

According to a public release from FINRA.org they, “ordered Raymond James & Associates, Inc. (RJA) and Raymond James Financial...

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Blog, Securities Fraud Articles

Two Former Edwards Jones Brokers Accused of “Selling Away” into a Ponzi Scheme

According to the investmentnews.com the FBI is handling a criminal investigation into Gibraltar Partners, which allegedly, along with other...

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Blog, Securities Fraud Articles

Overview of the FINRA Arbitration and Litigation Process

The following is a brief summary of the FINRA Arbitration Process. If you have a dispute with your brokerage firm or financial...

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Blog, Securities Fraud Articles

FINRA Proposal for Faster Valuations of Non-traded REITs

According to the investmentnews.com, FINRA “is putting the finishing touches on a rule proposal that would shorten the amount of time...

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Blog, Securities Fraud Articles

Fidelity to Repurchase Illiquid Auction Rate Securities

Fidelity Brokerage Services LLC Agrees to Repurchase Illiquid Auction Rate Securities and FINRA Sets Up a Special Arbitration Panel (SAP)...

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