FINRA Regulation
Tag Archive

Proequities Inc. Sanctioned, Featured by Top Securities Fraud Attorneys, The White Law Group March 11, 2019

ProEquities Inc. Sanctioned for Overcharges

ProEquities Inc. Sanctioned for Mutual Fund Overcharges According to the Financial

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Cadaret Grant & Co. September 14, 2018

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

FINRA Sanctions Cadaret Grant & Co. for Supervisory Issues According to the

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fiduciary rule September 4, 2018

Merrill Lynch Reverses Policy on Commission Based Accounts

Death of DOL’s Fiduciary Rule in March Leads to Merrill Lynch Policy Change

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Financial Advisor Misconduct August 30, 2018

Can FINRA Protect Investors from Financial Advisor Misconduct ?

Financial Advisor Misconduct – new study says 1 in 10 advisors has severe

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LPL Financial February 27, 2017

New FINRA Rule Protecting Seniors from Financial Abuse

SEC approves new FINRA rule designed to protect seniors from financial exploitation.

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Andrew Todd Yocum February 13, 2017

FINRA Arbitration Reform: Is it Enough?

FINRA Arbitration Reform FINRA, the Financial Industry Regulatory Authority, is

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