Monthly Archives: August 2012

FINRA Elects 3 New Governors

On behalf of Thomas Costello of Costello Law Group On Monday, August 13, 2012 FINRA announced the appointment of 3 new governors to its 22 person board. The new governors include Seth Waugh, CEO of Deutsche Bank Americas, who represents the organization’s large firms; W. Dennis Ferguson, executive vice president and director of […]

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FINRA Awards UPDATE: ARBchek (UA 2012-31)

On behalf of Thomas Costello of Costello Law Group UA edition 2012-31 contains 27 awards. To view all of this week’s Awards click here. Selected Awards of Interest in UA edition 2012-31: Little v. Stevens, FINRA ID # 11-00086 (Birmingham, AL, 7/30/2012) – Liability regarding a cattle call of Respondents […]

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