Tag: FINRA
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...
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...
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...