Securities Fraud Articles
FINRA award entered in favor of Janney Montgomery Scott on raiding claim.
A FINRA arbitration panel recently awarded Janney Montgomery Scott $2.3 million in compensatory damages in a raiding claim the firm had...
SEC Charges J.P. Morgan and Credit Suisse
In coordination with the federal-state Residential Mortgage-Backed Securities Working Group, the Securities and Exchange Commission...
SEC Receives More Than 3,000 Whistleblower Tips in 2012
The Securities and Exchange Commission (the “SEC”) recently announced that it has received more than 3,000 whistleblower tips from all...
SEC Charges Miami-Based Adviser With Hiding Trading Losses and Diverting Client Funds
On November 9, 2012, the Securities and Exchange Commission (the “SEC”) charged a Miami-based investment adviser with defrauding his...
SEC upholds FINRA decision involving Robert D. Tucker
The Securities and Exchange Commission (the “SEC”) recently sustained FINRA’s decision against Robert D. Tucker, a registered...
