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 [...]
SEC Adopts Regulation Best Interest and Other Reforms Aimed at Protecting Retail Investors
Last week, the Securities and Exchange Commission passed a package [...]
Brokerage Firms May Be Responsible for Selling GPB Capital Funds
GPB Capital Holdings, an alternative asset management firm based in [...]
Filing a Claim Against a Stockbroker or Financial Advisor
Stockbrokers (or ‘Brokers’) can be trusted competent professionals upon whom [...]
What Does a Securities Lawyer Do and Do I Need One?
If you have heard the terms “investment lawyer” or “securities [...]
Investor Choice Act of 2019 and Legislative Proposals
On April 3, 2019, the Subcommittee on Investor Protection, Entrepreneurship [...]
Maryland Fiduciary Rule
Legislation proposed in the Maryland Senate, Senate Bill 786 - [...]
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