$3.4 Million FINRA Claim Filed Against William Brian Candler Over Private Placement Losses
FINRA BrokerCheck records reveal a significant pending customer dispute involving [...]
UBS Advisor Igor “Gary” Harlap Faces FINRA Arbitration Over Structured Notes
FINRA BrokerCheck records indicate a pending customer dispute involving Igor [...]
FINRA Fines Broker-Dealer Over Regulation Best Interest Failures: What Investors Should Know About Supervisory Breakdowns
In a recent enforcement action, the Financial Industry Regulatory Authority [...]
FINRA Suspends 39-Year Veteran Over $100,000 in Unnecessary Fees
Regulators do not suspend four-decade veterans lightly. When they do, [...]
FINRA Sanctions Taglich Brothers for Regulation Best Interest and Form CRS Violations
A recent disciplinary action by the Financial Industry Regulatory Authority [...]
FINRA Bars Former Broker Jeyakumar Nadarajah for Failure to Cooperate with Investigation
The Financial Industry Regulatory Authority (FINRA) has barred former securities [...]
Arkadios Capital Sanctioned by FINRA for Reg BI Failures Involving Complex ETFs
A recent disciplinary action by the Financial Industry Regulatory Authority [...]
James Walesa Barred by FINRA: What This Means for Triad and Arkadios Capital Investors
The Financial Industry Regulatory Authority (FINRA) recently took a significant [...]
Regulation Best Interest and Excessive Trading: What a Recent FINRA Complaint Reveals
When excessive trading occurs in a retail investment account, the [...]
