Costello Law Group

FINRA sanctions compliance officer for AML compliance failures

by Tom Costello | Feb 14, 2022

The Financial Industry Regulatory Authority has ordered a compliance officer to pay $25,000 for failing to establish and implement a “reasonably...

by Tom Costello | Dec 27, 2019

Last week, MetLife, Inc. agreed to pay the Securities and Exchange Commission $10 million to settle charges for violating bookkeeping and internal...

by Tom Costello | Oct 24, 2019

A FINRA arbitration panel ordered Stifel, Nicolaus & Company, Inc. to pay more than $1.5 million in damages for failing to properly supervise a...

by Tom Costello | May 10, 2019

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by Tom Costello | Jul 18, 2016

By Tom Costello of Costello Law Group posted in Securities on Monday, July 18, 2016. Michael Oppenheim, an ex JP Morgan broker, was sentenced to...

by Tom Costello | Jul 24, 2013

By Tom Costello of Costello Law Group Bloomberg reports that Steven A. Cohen, a billionaire hedge fund manager, has been accused by the Securities...

by Tom Costello | May 14, 2013

On behalf of Thomas Costello of Costello Law Group Most financial advisors will tell you that every investment carries some element of risk. But...

by Tom Costello | Feb 8, 2013

On behalf of Thomas Costello of Costello Law Group Although voters in Maryland and other states approved a referendum legalizing same-sex marriage...

by Tom Costello | Feb 7, 2013

On behalf of Thomas Costello of Costello Law Group On January 23, 2013, the Financial Industry Regulatory Authority (FINRA) filed a temporary...

by Tom Costello | Jan 30, 2013

On behalf of Thomas Costello of Costello Law Group The American Taxpayer Relief Act of 2012 extended the provision allowing qualified charitable...