Author: D. Daxton White
SunTrust fined over auction rate securities
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined SunTrust Robinson Humphrey, Inc. (SunTrust RH) and...
SEC Warning: Structured Products, Reverse Convertible Notes
Broker-dealers have been engaging in sales practices for structured securities products that hurt retail investors, according to a...
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...