UBS has agreed to pay $50 million to settle Securities and Exchange Commission charges that it violated securities laws while structuring and marketing a collateralized[...]
Investment News
FINRA recently fined Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. $1 million, and ordered $188,000 in restitution plus interest for failing to[...]
The Financial Industry Regulatory Authority, Inc., recently revealed it is updating its process for vetting arbitrators already approved on its roster. FINRA will conduct annual[...]
An investor in the TNP 2008 Participating Notes Program, LLC, which went into default last year, recently filed a class action claim against Berthel Fisher[...]
FINRA recently filed a complaint against real estate investor Tony Thompson and his broker-dealer, TNP Securities, LLC. FINRA alleges that Thompson and TNP Securities deceived[...]
Sonn Law Group recently filed several FINRA arbitration claims against NFP Securities, Inc., and Securities America, Inc., on behalf of investors who made investments through[...]
Detroit filed for Chapter 9 bankruptcy on Thursday, July 17, with an estimated $18.5 billion in debt, making it the largest municipal bankruptcy in U.S.[...]
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The SEC recently charged Blake Richards (“Richards”), a former registered representative of LPL Financial (“LPL”) in Buford, Georgia, with defrauding investors and misappropriating $2 million[...]
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