SEC Fines MetLife $10 Million
Last week, MetLife, Inc. agreed to pay the Securities [...]
Maryland Court Upholds Sanctions Against “Money Guys” Adviser
Earlier this month, the Maryland Court of Special Appeals upheld [...]
Raymond James’ Customers Awarded $3.2 Million
A FINRA arbitration panel ordered Raymond James & Associates, Inc. [...]
GPB Capital Officer Charged with Stealing Information from SEC
The Department of Justice has charged Michael Cohn, former Chief [...]
States Sue SEC Over Best Interest Rule
Last month, attorneys general from seven states filed suit against [...]
Philadelphia Investment Manager Arrested
Earlier this fall, the U.S. Securities and Exchange Commission (“SEC”) [...]
Stifel Nicolaus Customers Awarded $1.5 Million
A FINRA arbitration panel ordered Stifel, Nicolaus & Company, Inc. [...]
Citigroup Fined for Inadequate Background Checks
The Financial Industry Regulatory Authority (FINRA) has issued a $1.25 [...]
Selling Away
One of the most dangerous things a broker can do [...]
Excessive Trading (Churning)
Excessive trading, also called “churning”, happens when a broker buys [...]
Merrill Lynch pays $40 to Settle Churning Claim
According to a CNBC report, Merrill Lynch has paid [...]
Representing Clients Nationwide – Free Initial Consultations
409 Washington Avenue Suite 410 | Towson, MD 21204 | Towson Law Office Map
Local 410-832-8800 Toll Free 877-418-0003