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...
Massachusetts suing RBC over ETF sales
According to the Investment News, Massachusetts’ top securities regulator is suing RBC Capital Markets LLC and one of its former...
