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Tag: FINRA Regulation

Blog, Current Investigations

ProEquities Inc. Sanctioned for Overcharges

ProEquities Inc. Sanctioned for Mutual Fund Overcharges According to the Financial Industry Regulatory Authority (FINRA), the regulator has...

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Blog, Current Investigations

Cadaret Grant & Co. Censured and Fined $800,000

FINRA Sanctions Cadaret Grant & Co. for Supervisory Issues According to the Financial Industry Regulatory Authority (FINRA), the...

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Blog

Merrill Lynch Reverses Policy on Commission Based Accounts

Death of DOL’s Fiduciary Rule in March Leads to Merrill Lynch Policy Change According to reports this week, Merrill Lynch said on...

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Blog, Securities Fraud Articles

Can FINRA Protect Investors from Financial Advisor Misconduct ?

Financial Advisor Misconduct – new study says 1 in 10 advisors has severe misconduct records. According Financial IQ a recent study,...

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Securities Fraud Articles

New FINRA Rule Protecting Seniors from Financial Abuse

SEC approves new FINRA rule designed to protect seniors from financial exploitation. Will firms follow through? The US Securities and...

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Blog

FINRA Arbitration Reform: Is it Enough?

FINRA Arbitration Reform FINRA, the Financial Industry Regulatory Authority, is continuing to make reforms to its often criticized...

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