Tag: FINRA arbitration attorney
E.S. Financial Services, Inc. fined by FINRA
E.S. Financial Services, Inc. (CRD #104316, Miami, Florida) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...
The Tidal Group, Inc. fined by FINRA
The Tidal Group, Inc. (CRD #39782, Schertz, Texas) recentlysubmitted a Letter of Acceptance, Waiver and Consent in which the firm was...
KMS Financial Services, Inc. fined by FINRA
KMS Financial Services, Inc. (CRD #3866, Seattle, Washington) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
FINRA fines Rodman & Renshaw
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory...
Fidelity Settles FINRA Charges for Ultra Short Bond Fund
According to an Investment News report, Fidelity has agreed to settle with Finra and pay a $375,000 fine over alleged sales violations...
