Tag: margin calls

Blog, Securities Fraud Articles

Sanjeev Jayant Kumar Shah Pleads Guilty To Securities Fraud

A former Smith Barney financial adviser in New York has plead guilty to attempting to defraud a client of more than $3 million. According...

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Blog, Securities Fraud Articles

FINRA Arbitration Statistics

FINRA recently published statistics on the securities cases that it administers through its FINRA Dispute Resolution process.  The...

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