Author: D. Daxton White
Merrill Lynch Shifting Away From Small Accounts
It is being reported that the latest compensation changes being made by Merrill Lynch Wealth Management to encourage brokers to go after...
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...