Securities Fraud Articles
FINRA’s Guidelines on Artificial Intelligence (AI)
FINRA’s Guidelines on AI, FINRA Updates Guidance on ChatBots, Communications Artificial intelligence (AI) technology is...
Arive Capital Markets Sanctioned for Supervisory Failures
Arive Capital Markets Sanctioned for Supervisory Failures Arive Capital Markets, a registered brokerage firm, reportedly settled with...
Eddy Blizzard Sentenced for Stealing $1M+ from Client
Ex-Suntrust Advisor Eddy Blizzard Sentenced to Prison Eddy Ray Blizzard, a Maryland financial advisor, was reportedly sentenced to 42...
Alexandria Bovee, Edward Jones, Barred by FINRA
FINRA Investigates Alexandria Bovee’s involvement in Alleged Ponzi Scheme A former Edward Jones broker in Sumter, South Carolina,...
Citigroup Global: FINRA Claim Alleges Unsuitable Investments
The White Law Group Files a Claim against Citigroup Global Markets The White Law Group announces the filing of a FINRA arbitration claim...
Principal Securities Lawsuit Alleges Churning
Principal Securities Facing Claims for Churning Allegations Principal Securities Inc. is facing legal trouble in Minnesota, where a lawsuit...
