Tag: securities arbitration
Forex Capital Markets Settles Charges of Failure to Supervise
According to a public release from cftc.gov, “The U.S. Commodity Futures Trading Commission (CFTC)…issued an order filing and...
FINRA Proposes More Changes to Protect Investors in Non-traded REITs
According to the investmentnews.com, FINRA has “…proposed changes to its Rule 2340, which governs customer account statements....
Raymond James Ordered to make $1.69 Million in Restitution to Customers
According to a public release from FINRA.org they, “ordered Raymond James & Associates, Inc. (RJA) and Raymond James Financial...
Two Former Edwards Jones Brokers Accused of “Selling Away” into a Ponzi Scheme
According to the investmentnews.com the FBI is handling a criminal investigation into Gibraltar Partners, which allegedly, along with other...
Former FirstMerit Advisor indicted by federal grand jury and the subject of a FINRA complaint
The cantonrep.com is reporting that Vicki L. Perchinske, a former FirstMerit Bank financial advisor has been indicted by a federal grand...
FINRA and the SEC: “smart tips for spotting retirement scams”
FINRA and the SEC jointly released a document meant to protect investors from “early retirement scams” that play on the desires of many...