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Tag: municipal securities

Blog, Securities Fraud

FINRA Outlines Investments They are Watching Closely in 2012

The Financial Industry Regulatory Authority (FINRA) outlined a list of investment products that they will be watching closely in 2012...

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Blog, Securities Fraud

Emmet & Co., Inc. fined by FINRA

Emmet & Co., Inc. (CRD #15993, Far Hills, New Jersey) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...

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Blog, Securities Fraud

B.C. Ziegler and Company fined by FINRA

B.C. Ziegler and Company (CRD #61, Chicago, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured...

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Blog, Securities Fraud

Rafferty Capital Markets, LLC fined by FINRA

Rafferty Capital Markets, LLC (CRD #23682, Garden City, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which...

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Blog, Securities Fraud

Regulatory History of Wedbush Securities

The White Law Group reviews securities fraud cases throughout the country, including reviewing securities fraud cases involving all of the...

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Blog, Securities Fraud

FINRA Fines Edward Jones For Supervisory And Recordkeeping Failures.

FINRA recently announced that it has fined Edward D. Jones & Co., L.P. of St. Louis $900,000 for its failure to timely deliver official...

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