Search for: "Wall Street Brokerage, LLC"
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2 Dec 2009, 7:49 am
“Wall Street doesn’t just give away money. [read post]
11 Jun 2010, 10:01 am
Boyd Page, senior partner of Page Perry LLC in Atlanta, observed “This is further evidence of how much Wall Street banks have lost perspective and abandoned their legal obligations. [read post]
28 Jul 2010, 3:48 pm
In fact, Wall Street brokerage firms are being ordered to pay millions to investors who incurred significant losses on what they thought were low-risk investments, but were, in fact, leveraged municipal arbitrage hedge funds, according to a Wall Street Journal article by Randall Smith (“Crisis-Era Munis Haunt Wall Street,” July 27, 2010). [read post]
8 Feb 2010, 6:04 am
On January 11, 2010, the Financial Industry Regulatory Authority (FINRA), which is the so-called self-regulatory organization responsible for regulating brokerage firms’ sales practices, laid off five senior enforcement officials, according to a recent Wall Street Journal article by Suzanne Barlyn. [read post]
9 May 2016, 6:06 am
In a recently filed Complaint in the United States Distrcit Court for the Southern District of New York (“SDNY”), Plaintiff Megan Messina alleges that Bank of America sexually discriminated against her as a result of “gender disparities in compensation and business opportunities at the nation’s largest bank and brokerage firm.” Further, Messina alleges that she was retaliated against in violation of Sarbanes-Oxley Act of 2002 and the whistleblower… [read post]
18 Sep 2018, 2:26 pm
Investors’ fortunes were decimated and there were massive layoffs on Wall Street and Main Street. [read post]
17 Oct 2018, 1:19 pm
Remember, Wall Street traders are particularly nervous in October. [read post]
31 Jan 2019, 8:04 am
For purposes of FINRA arbitration, investment fraud involves a broad range of improper brokerage and advisory practices that lead to investors unknowingly making poor investment decisions. [read post]
4 Sep 2008, 7:11 pm
While regulators have announced tentative settlements with major Wall Street firms (Merrill Lynch, UBS, JP Morgan, Goldman Sachs, Morgan Stanley, Wachovia, Citigroup, and Deutsche Bank) that underwrote auction-rate securities, these settlements have not addressed the situation of thousands of investors that purchased auction-rate securities through smaller brokerage firms. [read post]
12 Jul 2010, 9:24 am
When a broker moves to a different firm, the client should get answers to some important questions before following, according to Jaime Levy Pessin’s July 6th article in the Wall Street Journal titled “Your Adviser Is Changing Firms. [read post]
13 Apr 2010, 1:08 pm
On April 8, 2010, the Wall Street Journal ran an article under the headline “Banks Winning When Investors Sue. [read post]
5 Oct 2018, 1:39 pm
After all, Wall Street banks nearly led to the collapse of the global financial system. [read post]
11 Nov 2008, 4:36 pm
It does not look like there will be a happy holiday for many on Wall Street. [read post]
17 Jan 2019, 8:40 am
Regardless, recent events have failed to dampen the enthusiasm for the strategy on Wall Street. [read post]
4 Jan 2010, 10:15 am
The Wall Street Journal reports that “hundreds of businesses are fighting to recover billions of dollars tied up in frozen auction-rates securities, a year after Wall Street firms agreed to $60 billion in settlements over the collapsed market for the investments. [read post]
26 Mar 2019, 1:20 pm
Who can investors trust when Wall Street fosters such clearly unethical behavior? [read post]
16 Jul 2008, 9:25 pm
The subprime and credit crises affecting the economy have revealed an array of suitability abuses by Wall Street investment firms. [read post]
13 May 2008, 7:54 am
In this uncertain climate, employees on Wall Street need to protect themselves. [read post]
19 Feb 2010, 2:29 pm
The Federal Home Loan Bank of Seattle has filed 11 lawsuits against an array of Wall Street banks, seeking rescind $4 billion of mortgage-backed securities with interest, according to a Feb. 16 Wall Street Journal article by Nick Timiraos, “Home Loan Bank Sues Wall Street Firm. [read post]
17 Apr 2008, 8:10 pm
This case is part of a broader criminal probe involving 13 people that have pled guilty to a massive insider trading scheme involving data they acquired from Wall Street brokerage companies. [read post]
