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October 4, 2011

“Supervisory Failures” Cost Merrill Lynch $1 Million

According to the Financial Industry Regulatory Authority (FINRA), “it has fined

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October 4, 2011

Forex Capital Markets LLC Settles Charges of Failure to Supervise...

According to a public release from cftc.gov, “The U.S. Commodity Futures Trading

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October 3, 2011

“Selling Away” a Concern for Regulators, Investors and Brokerage Firms

According to the investmentnews.com, “Stockbrokers who sell products that promise

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September 30, 2011

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

According to the investmentnews.com, FINRA has “…proposed changes to its Rule

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September 29, 2011

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

According to a public release from FINRA.org they, “ordered Raymond James &

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September 29, 2011

Two Former Edwards Jones Brokers Accused of “Selling Away” into...

According to the investmentnews.com the FBI is handling a criminal investigation

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September 28, 2011

Overview of the FINRA Arbitration and Litigation Process

The following is a brief summary of the FINRA Arbitration Process. If you have a

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September 28, 2011

FINRA Proposal to Insist on Faster Valuations of Non-traded REITs

According to the investmentnews.com, FINRA “is putting the finishing touches on a

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September 27, 2011

Fidelity Brokerage Services LLC Agrees to Repurchase Illiquid Auction Rate...

According to documents available from FINRA.org, “without admitting or denying the

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September 26, 2011

Former FirstMerit Advisor indicted by federal grand jury and the...

The cantonrep.com is reporting that Vicki L. Perchinske, a former FirstMerit Bank

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