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Jamie P. Lake, Named in SEC Investigation
Jamie P. Lake named in SEC investigation related to possible securities fraud violations. On September 8, 2009, the Securities Exchange...
Ronald E. Hardy, Jr., formerly of Aura Financial Services, Inc., sanctioned for securities violations by the SEC.
On September 2, 2009, the Securities Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b)...
FINRA Announces Agreements with Three Additional Firms
FINRA Announces Agreements with Three Additional Firms to Settle Auction Rate Securities Violations Northwestern Mutual Investment...
FINRA Bars Citigroup Sales Assistant Tamara Lanz Moon
Broker Targeted Accounts of Elderly and Vulnerable Clients; Citigroup Has Paid Restitution to Customers The Financial Industry Regulatory...
New Rule on Broker Promissory Note Arbitration
Effective September 14, 2009, FINRA will begin expediting the administration of cases that solely involve a brokerage firm’s claim than...
FINRA Fines Three Firms Over $1.25 million
The Financial Industry Regulatory Authority (FINRA) has recently fined three broker-dealers- J.P. Turner & Co. of Atlanta, Georgia,...
