Author: D. Daxton White
FINRA Rules Regarding Suitability
Securities Fraud Attorneys | Suitability Claims One of the main claims in any securities fraud case is regarding suitability (i.e., were...
SEC Changes to “Accredited Investor” Rules
The Securities and Exchange Commission recently announced that it has amended its rules to exclude the value of a person’s home from net...
FINRA Fines Credit Suisse Securities for SHO Violations
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Credit Suisse Securities (USA) LLC $1.75 million...
Variable annuity sales at independent broker-dealers
The Investment News just released data on the variable annuity sales at independent broker-dealers. As you can see from the chart...
SEC Files Action Against former FTN Financial employee
On December 15, 2011, the Securities and Exchange Commission filed a civil injunctive action against Stephen M. Folan, a former registered...