Securities Fraud Articles
FINRA Rule 2020: Manipulative, Deceptive, Fraudulent Devices
What is FINRA Rule 2020? FINRA Rule 2020 was put in place by the Financial Regulatory Authority (FINRA), to deter the use of manipulative,...
Fastest Growing Independent Broker-Dealers
The Ten Fastest Growing Independent Broker-Dealers in 2022 According to Investment News, the following brokerage firms are the top ten...
Marking the Close: Manipulative Trading
Marking the Close: Manipulative Trading and FINRA Rules ‘Marking the Close’ is a term that is frequently used when investors in...
Scott Wolfrum, David A. Noyes & Co., SEC Charges
SEC Fines Scott Wolfrum for Conflicts of Interest in Investment Recommendations The SEC’s Division of Enforcement has reportedly...
Common FINRA Violations
FINRA Rules and Regulations – Common FINRA Violations The Financial Industry Regulatory Authority (FINRA) is a self-regulatory...
Ohio Broker gets 10 Years in Prison for Defrauding Investors
Thomas Brenner to pay $3.5 Million and Serve Time for Fraud Scheme Former Ohio broker Thomas Brenner has reportedly been handed a sentence...
