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Tag: FINRA lawyer

Blog, Securities Fraud Articles

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...

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Blog

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...

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Blog, Current Investigations

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)...

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Blog, Current Investigations

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...

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Blog

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...

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Blog, Current Investigations

Dudley Stephens Customer Complaints

Dudley Stephens – Coastal Equities – New York, NY According to publicly available FINRA records, former financial advisor Dudley...

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