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Tag: FINRA Regulation

Proequities Inc. Sanctioned, Featured by Top Securities Fraud Attorneys, The White Law Group

Blog, Current Investigations

March 11, 2019

ProEquities Inc. Sanctioned for Overcharges

ProEquities Inc. Sanctioned for Mutual Fund Overcharges According to the Financial Industry Regulatory Authority (FINRA), the regulator has...

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Cadaret Grant & Co.

Blog, Current Investigations

September 14, 2018

Cadaret Grant & Co. Censured and Fined $800,000

FINRA Sanctions Cadaret Grant & Co. for Supervisory Issues According to the Financial Industry Regulatory Authority (FINRA), the...

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fiduciary rule

Blog

September 4, 2018

Merrill Lynch Reverses Policy on Commission Based Accounts

Death of DOL’s Fiduciary Rule in March Leads to Merrill Lynch Policy Change According to reports this week, Merrill Lynch said on...

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Financial Advisor Misconduct

Blog, Securities Fraud

August 30, 2018

Can FINRA Protect Investors from Financial Advisor Misconduct ?

Financial Advisor Misconduct – new study says 1 in 10 advisors has severe misconduct records. According Financial IQ a recent study,...

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LPL Financial

Securities Fraud

February 27, 2017

New FINRA Rule Protecting Seniors from Financial Abuse

SEC approves new FINRA rule designed to protect seniors from financial exploitation. Will firms follow through? The US Securities and...

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Andrew Todd Yocum

Blog

February 13, 2017

FINRA Arbitration Reform: Is it Enough?

FINRA Arbitration Reform FINRA, the Financial Industry Regulatory Authority, is continuing to make reforms to its often criticized...

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