Author: D. Daxton White
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...
Goldman, Sachs & Co. Fined Over "Trading Hurdles
FINRA recently announced that it has fined Goldman, Sachs & Co. $22 million for failing to supervise equity research analyst...
UBS Sued Over Tax Advice
It is being reported in the Investment News that Igor Olenicoff, a wealthy real estate developer, has filed suit against UBS over his claim...