Securities Fraud Articles
JOBS Act Impact on Hedge Fund Advertising
According to reports, hedge funds may soon be able to go from soliciting individual investors behind closed doors to conducting wide...
FINRA fines Rodman & Renshaw
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory...
CFP Revocations Announced
According to a report in Financial Advisor magazine, the Certified Financial Planner Board revoked the Certified Financial Planner mark...
Merrill Lynch Deferred Compensation Class Action Settlement
According to reports in Reuters, Merrill Lynch has agreed to a proposed $40 million class action settlement with 1,400 brokers over...
