Tag: supervision
Stifel Nicolaus & Co. Regulatory Overview
The White Law Group reviews the regulatory history of Stifel Nicolaus & Co. Stifel Nicolaus & Co Inc. (CRD # 793), a...
MML Investors Services LLC Overview
The White Law Group reviews the regulatory history of MML Investors Services LLC. MML Investors Services Inc....
FINRA RULE 3110 (SUPERVISION)
What is Failure to Supervise – FINRA Rule 3110? Failure to Supervise, as outlined in FINRA Rule 3110, is a regulatory violation...
NFA fines Chicago firm Brewer Futures Group LLC
National Futures Association (NFA) has fined Brewer Futures Group LLC (BFG) and its principal, Steven J. Brewer $100,000. BFG is an...
FINRA Rules Securities Fraud/Customer Dispute Claims
FINRA Rules Regarding Securities Fraud Claims 2010. Standards of Commercial Honor and Principles of Trade A member, in the conduct of its...
