Blog
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....
Raymond James Ordered to make $1.69 Million in Restitution to Customers
According to a public release from FINRA.org they, “ordered Raymond James & Associates, Inc. (RJA) and Raymond James Financial...
Two Former Edwards Jones Brokers Accused of “Selling Away” into a Ponzi Scheme
According to the investmentnews.com the FBI is handling a criminal investigation into Gibraltar Partners, which allegedly, along with other...
Overview of the FINRA Arbitration and Litigation Process
The following is a brief summary of the FINRA Arbitration Process. If you have a dispute with your brokerage firm or financial...
FINRA Proposal for Faster Valuations of Non-traded REITs
According to the investmentnews.com, FINRA “is putting the finishing touches on a rule proposal that would shorten the amount of time...
Fidelity to Repurchase Illiquid Auction Rate Securities
Fidelity Brokerage Services LLC Agrees to Repurchase Illiquid Auction Rate Securities and FINRA Sets Up a Special Arbitration Panel (SAP)...
