Author: Harrison
Federal Appeals Court Rules against FINRA on Fine Collection
Multiple outlets are reporting that a Manhattan federal appeals court has ruled that FINRA is not able to pursue fines by taking their...
FINRA Continues their Focus on Non-traded REITs
FINRA released an investor alert for public non-traded REITs “to help investors understand the benefits, risks, features and fees of...
“Supervisory Failures” Cost Merrill Lynch $1 Million
According to the Financial Industry Regulatory Authority (FINRA), “it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1...
Forex Capital Markets Settles Charges of Failure to Supervise
According to a public release from cftc.gov, “The U.S. Commodity Futures Trading Commission (CFTC)…issued an order filing and...
“Selling Away” a Concern for Regulators, Investors and Brokerage Firms
According to the investmentnews.com, “Stockbrokers who sell products that promise high returns without the approval of their...
FINRA Proposes More Changes to Protect Investors in Non-traded REITs
According to the investmentnews.com, FINRA has “…proposed changes to its Rule 2340, which governs customer account statements....
