Tag: FINRA arbitration lawyer
Citigroup fined over inaccurate information.
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $3.5 million for...
FINRA CRD Broker Check Enhancements
FINRA recently announced that it has added features to its CRD Broker Check system to help users more easily access broker-dealer and...
FINRA Fines Citigroup Global Markets for Disclosure Failures
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $725,000 for...
Cambridge Legacy Securities Files Bankruptcy
Another seller of high-risk private placements has withdrawn from FINRA. According to reports, on April 13, Cambridge Legacy Securities...
Morgan Keegan in trouble again….
The Labor Department recently entered into a settlement with Morgan Keegan & Co. Inc., following an investigation revealing that the...