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Tag: FINRA

Florida Securities Act

Blog, Securities Fraud Articles

August 11, 2009

Brief Summary of the Florida Securities Act (Florida Statute Chapter 517)

The Florida Securities Act (Florida Statute Chapter 517) The Florida securities laws are administered by the Florida Department of Banking...

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Blog, Securities Fraud Articles

August 5, 2009

Frances Ann Reams suspended from FINRA

In June 2009, FINRA announced that Frances Ann Reams, then employed with Wachovia Securities, LLC in Roanoke, Virginia, had been suspended...

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Blog, Securities Fraud Articles

May 20, 2009

Regulators Require Disclosure Regarding Customer Complaints

Regulators Require Financial Firms to Provide More Public Disclosure Regarding Customer Complaints On May 13, 2009, the U.S. Securities and...

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