Author: D. Daxton White
FINRA Fines Edward Jones For Supervisory Failures
FINRA recently announced that it has fined Edward D. Jones & Co., L.P. of St. Louis $900,000 for its failure to timely deliver official...
FINRA Fines Deutsche Bank Securities For Misrepresentation
FINRA recently announced that it has fined Deutsche Bank Securities, Inc. $7.5m for “negligently misrepresenting” delinquency...
FINRA Fines Piper Jaffray For Rules Violations.
FINRA recently announced that it has fined Piper Jaffray & Co. $700,000 for violations related to its failure to retain approximately...
FINRA Fines HSBC Securities For Unsuitable CMO Sales
FINRA recently announced that it has fined HSBC Securities (USA) Inc. $375,000 for recommending unsuitable sales of inverse floating rate...
FINRA Fines Ameriprise for Reverse Convertible Notes
The Financial Industry Regulatory Authority (FINRA) has fined H&R Block Financial Advisors (now Ameriprise Advisor Services) $200,000...
Recovery of Schwab YieldPlus Investment Losses
The White Law Group is investigating securities fraud claims involving the ultra-short bond funds Schwab YieldPlus (SWYPX) and Schwab...
