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Tag: failure to supervise

Blog, Current Investigations

Webull Financial Censured and Fined $3 Million 

FINRA Sanctions Webull Financial for Options Trading   According to public documents this week, the Financial Industry Regulatory...

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Blog, Securities Fraud

Broker Negligence Attorney 

Securities Attorneys for Broker Negligence Brokers and brokerage firms owe a duty of care and loyalty to their customers. The broker must...

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Blog, Securities Fraud

FINRA Hits Morgan Stanley for High-Risk Investments

Morgan Stanley Wealth to pay $697,897 for Failure to Supervise Risky Investments  The Financial Industry Regulatory Authority (FINRA) is...

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Blog, Current Investigations

FINRA Fines Barclays Capital Inc. $2 Million

Barclays Sanctioned for Best Execution Violations and Supervisory Failures  According to the Financial Industry Regulatory Authority...

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Blog, Current Investigations, Securities Fraud

Robinhood Financial Fined $1.5 Million

FINRA Sanctions Robinhood Financial over Supervisory Issues  According to the public records on FINRA’s website, on December 19, 2019,...

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Blog, Current Investigations

FINRA Examination Findings: Failure of Oversight in Firms

FINRA Examination Findings: firms need to tighten up supervisory systems. Last Friday, the Financial Industry Regulatory Authority...

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