The Securities and Exchange Commission announced it has charged H.D. Vest Investment Services with violating critical customer protections rules after failing to adequately supervise representatives[...]
Investment News
Reuters reports that in April 2011 brokers at UBS Puerto Rico had grave concerns about selling high-risk Puerto Rico-focused bond funds to their clients. The[...]
The Securities and Exchange Commission recently announced charges against Oppenheimer & Co. for violating federal securities laws by improperly selling penny stocks in unregistered offerings[...]
The Securities and Exchange Commission today announced fraud charges and an asset freeze against Fort Lauderdale, Florida-based investment advisory firm, its manager, and three related[...]
FINRA recently issued an Investor Alert, “E-Cigarette Stock Scams: New Smoking Technology Could Light Up Pump-and-Dump Fraud.” In the Alert, FINRA warns investors of aggressive[...]
FINRA recently issued a new Investor Alert called “Physical Precious Metals: Tips to Avoid Tarnishing Your Portfolio,” which cautions investors about the risks of investing[...]
This article was originally published by WSJ.com An arbitration panel ordered a former broker who targeted professional athletes with risky investments to pay a former[...]
The Securities and Exchange Commission recently sanctioned 13 firms for violating a rule intended to protect retail investors in the municipal securities market. The SEC[...]
FINRA recently issued an Investor Alert, “Dormant Shell Companies–How to Protect Your Portfolio from Fraud.” In the Alert, FINRA warns that some low-priced “penny” stocks[...]
Puerto Rico’s Office of the Commissioner of Financial Institutions recently announced a settlement with UBS regarding the offering and sale of Puerto Rico closed-end mutual[...]