Author: D. Daxton White
Morgan Keegan in trouble again….
The Labor Department recently entered into a settlement with Morgan Keegan & Co. Inc., following an investigation revealing that the...
OpVest Sanctioned by NFA Over Commissions
National Futures Association (NFA) has levied a $75,000 fine against Option Investments, Inc. (otherwise known as OpVest), a Commodity...
FINRA U-5 Expungement Procedure Updates
FINRA is currently requesting comment on proposed new rules that would permit persons who are the “subject of” allegations of sales...
Radio Personality, Financial Advisor, Charged With Fraud
It is being reported that well-known financial advisor, Matthew D. Hutcheson, was recently indicted on federal charges that he used...
Ohio Financial Advisor Prevails in Securities Employment Dispute
According to reports, a securities arbitration panel recently ruled that Lincoln Financial Advisors Corp. must pay $2 million to Jeffrey...