Author: D. Daxton White
Fidelity fined by FINRA
Fidelity Brokerage Services, LLC (CRD #7784, Smithfield, Rhode Island) and Fidelity Investments Institutional Services Company, Inc. (CRD...
Arete Wealth Management, LLC fined by FINRA
Arete Wealth Management, LLC (CRD #44856, Schaumburg, Illinois) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
SEC Approves Rules to Improve Transparency for Bonds
It is being reported that the U.S. Securities and Exchange Commission (the SEC) recently approved regulations that will prevent banks from...
Merrill Lynch sanctioned by FINRA over Brokercheck disclosures.
The Financial Industry Regulatory Authority (FINRA) recently announced that it has censured and fined Merrill Lynch, Pierce, Fenner &...
SEC Suspends Trading in the Securities of 16 Companies in Ongoing Effort to Combat Microcap Stock Fraud
The Securities and Exchange Commission recently announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange...
