Tag: FINRA lawyer
Protecting Investors from Misconduct, FINRA releases FAQ on Rule 4111
FINRA releases FAQ on Rule 4111, Restricted Firm Rule The Financial Industry Regulatory Authority has released frequently asked questions...
FINRA Sanctions Crown Capital Securities LP for Violations
FINRA Censures and Fines Crown Capital $75,000 for Compensation Violations According to the Financial Industry Regulatory Authority...
Deutsche Bank Securities, Inc. Hit with $2 Million Fine
FINRA Fines Deutsche Bank Securities, Inc. $2 Million For Best Execution Violations The Financial Industry Regulatory Authority (FINRA)...
Registered Investment Advisor (RIA) – Securities Fraud Attorneys
How does a Registered Investment Advisor (RIA) differ from a Broker Dealer? A registered investment advisor (RIA) is an individual or...
Stifel Nicolaus to pay $1.5 Million to 3 Investors
FINRA Award: Customer Complaint against Stifel Nicolaus for Alleged supervisory failures According to public records posted last week, a...