Securities Fraud Articles
“Supervisory Failures” Cost Merrill Lynch $1 Million
According to the Financial Industry Regulatory Authority (FINRA), “it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1...
Forex Capital Markets Settles Charges of Failure to Supervise
According to a public release from cftc.gov, “The U.S. Commodity Futures Trading Commission (CFTC)…issued an order filing and...
“Selling Away” a Concern for Regulators, Investors and Brokerage Firms
According to the investmentnews.com, “Stockbrokers who sell products that promise high returns without the approval of their...
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...
