Tag: securities attorneys
FINRA Claim: $23 Million over Tesla Trades
UBS Broker Allegedly Promoted Short Selling Tesla Stock According to an article in AdvisorHub today, a group of investors have reportedly...
Member Firms ask FINRA to Redefine Supervision after Working Remotely
Brokerages firms ask FINRA to revise rules and relax its requirements for in-person personnel supervision According to an article in...
Financial Advisor Thomas Laws Reportedly Pleads Guilty to Fraud
Broker Thomas Laws, HD Vest Advisor Have you suffered losses investing with former financial advisor Thomas Laws? If so, the securities...
UBS Clients win $4.4 Million for Puerto Rico Bond Losses
Another FINRA Award involving UBS Puerto Rico Bonds According to award posted this week, a group of investors who bought Puerto Rico...
SEC Charges Commonwealth Financial Network
Commonwealth Financial Network, Waltham, MA – Charged with Failing to Disclose Revenue Sharing According to a press announcement on...
Ross Sinclaire & Associates Censured & Fined $200,000
FINRA Sanctions Ross Sinclaire & Associates for Alleged Violations According to the Financial Industry Regulatory Authority (FINRA) on...
