Author: D. Daxton White
Fortune Financial and Brian Lee Daniels fined and censured
FINRA recently announced that Fortune Financial Services, Inc. (a FINRA registered broker-dealer based in New Brighton, Pennsylvania ) and...
FINRA Rules regarding Discretionary Accounts
As provided for in FINRA Notice to Member (NTM) 09-63, the following rules currently apply to discretionary brokerage accounts: FINRA Rule...
Possible securities fraud involving CIT Group Bonds sold by Edward Jones
We are investigating a possible securities fraud claim on behalf of an investor with Edward Jones’ Wilmette, Illinois office (Wilmette is...
FINRA Bars American General Securities Inc. Broker Richard L. Wood for Misappropriating $90,000 Inheritance From Two Sisters
Financial Industry Regulatory Authority (FINRA) recently announced that it has barred Richard L. Wood, a Miamisburg, Ohio, broker, from the...