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February 27, 2012
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Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) outlined a list of investment products that they will be watching closely in 2012 because they feel that “concerns relative to business conduct and suitability issues are heightened.” This list of investment products comes from FINRA’s January letter outlining
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June 3, 2011
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Blog, Securities Fraud
Emmet & Co., Inc. (CRD #15993, Far Hills, New Jersey) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $17,500. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it failed to report
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May 18, 2011
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Blog, Securities Fraud
B.C. Ziegler and Company (CRD #61, Chicago, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $12,500. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it failed to report information
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May 16, 2011
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Blog, Securities Fraud
Rafferty Capital Markets, LLC (CRD #23682, Garden City, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $87,500 and required to revise its written supervisory procedures regarding TRACE and municipal securities reporting, and books and records compliance.
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October 26, 2010
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Blog, Securities Fraud
The White Law Group reviews securities fraud cases throughout the country, including reviewing securities fraud cases involving all of the FINRA registered broker-dealers. Wedbush Securities is a FINRA registered broker-dealer founded in 1955. It is primarily a West Coast firm, with headquarters in Los Angeles,
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October 20, 2010
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Blog, Securities Fraud
FINRA recently announced that it has fined Edward D. Jones & Co., L.P. of St. Louis $900,000 for its failure to timely deliver official statements to customers who purchased new-issue municipal securities and related supervisory and recordkeeping failures. With limited exceptions, broker-dealers selling a
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