by Broker Fraud | Feb 10, 2023 | FINRA Arbitration, Securities Fraud
Making good financial investment decisions often requires specialized knowledge and a considerable investment of time to understand and monitor the ever-changing market options. Over one third of investors in America, about 40 percent, rely on financial advisers to...
by Broker Fraud | Jan 24, 2023 | FINRA Arbitration, Securities Fraud
Goldman Sachs to Pay $4 Million SEC Fine Related to Environmental, Social and Governance (ESG) Investments In recent years there has been an emerging trend for investors to put their investment dollars into companies that are aligned with their own world view. These...
by Broker Fraud | Sep 28, 2022 | FINRA Arbitration, Securities Litigation
Robert David Jr. Submits Letter of Acceptance, Waiver and Consent to FINRA A Michigan securities representative filed a Letter of Acceptance, Waiver and Consent (AWC) on March 31, 2022, with the Financial Industry Regulatory Authority (FINRA) accepting, without...
by Broker Fraud | Jan 28, 2022 | FINRA Arbitration, Securities Litigation
FINRA Fines Aegis Capital $2.8M for Failure to Supervise Potentially Excessive Trading Brokerage firms that are members of the Financial Industry Regulatory Authority (FINRA) need to have supervisory systems in place that are reasonable designed to meet compliance...
by Broker Fraud | Oct 21, 2021 | FINRA Arbitration, Securities Litigation
The Financial Industry Regulatory Authority’s Investor Education Foundation teamed up with the University of Minnesota and the Better Business Bureau’s (BBB) Institute for Marketplace Trust to study why some consumers are more vulnerable to financial...
by Broker Fraud | May 26, 2021 | FINRA Arbitration, Securities Fraud
Transamerica Financial Advisors, Inc. to Pay $8.8 Million FINRA Sanction for Supervisory Violations On December 21, 2021, the Financial Industry Regulatory Authority (FINRA) announced that Transamerica Financial Advisors, Inc. (TFA) had agreed to pay an $8.8 million...
