Author: D. Daxton White
CFTC imposes penalties against Jeremiah Yancy and Longbranch Group International
The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court consent order imposing more than $2...
Collective Action Claims for Financial Advisors
FINRA Proposes Rule Change for Class Action Employment Claims According to Investment News, FINRA will be proposing a rule change that...
Reverse Convertible Sales: UBS, Morgan Stanley, Ameriprise
According to the Investment News, Georgia recently requested information from UBS AG, Morgan Stanley and Ameriprise Financial Inc. in its...