Search for: "National Association Of Securities Dealers, Inc."
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8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
8 Nov 2023, 9:24 am
Inc. [read post]
6 Nov 2023, 11:00 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
24 Oct 2023, 9:01 pm
Our ongoing off-channel communications sweep to ensure that regulated entities, including broker-dealers and investment advisers, comply with their recordkeeping requirements is a good example. [read post]
22 Oct 2023, 5:03 pm
Phillips, 126 So.3d 186 (Fla. 2013), has addressed this question in the context of a tort claim before the National Association of Securities Dealers. [read post]
20 Oct 2023, 2:40 pm
On July 26, 2023, the SEC proposed new rules aiming to address conflicts of interest associated with the use of predictive data analytics (“PDA”) and other similar AI-powered tools. [read post]
17 Oct 2023, 7:25 am
Brokers-Dealers That Recommended Northstar Northstar Financial Services (Bermuda) was sold by many broker-dealers, including: Ankoh Investment Services, Inc. [read post]
4 Oct 2023, 7:54 am
Today, the Fifth Circuit will be hearing oral arguments in National Horsemen's Benevolent and Protective Association v. [read post]
28 Sep 2023, 12:22 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
25 Sep 2023, 9:03 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
11 Sep 2023, 2:36 am
Impacted by Covid-19 The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
8 Sep 2023, 12:51 pm
Consequently, she has been barred from associating with any FINRA member in the future. [read post]
6 Sep 2023, 9:20 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
29 Aug 2023, 12:32 pm
First Southwest Company, LLC and Southwest Securities, Inc. subsequently merged into what is now Hilltop Securities, Inc., in 2016. [read post]
25 Aug 2023, 11:47 am
Censured & Fined July 2018 – FINRA sanctioned four firms, Royal Alliance Associates, Inc., FSC Securities Corporation, SagePoint Financial, Inc., Woodbury Financial Services, Inc. for failure to establish, maintain and enforce a supervisory system in connection with variable annuities. [read post]
17 Aug 2023, 10:49 am
May 2019 – Fidelity Masonic Temple Association, Inc. [read post]
14 Aug 2023, 2:11 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
10 Aug 2023, 9:31 am
According to a press release on March 2, 2022, the Securities and Exchange Commission charged Cambridge Investment Research Advisors, Inc. [read post]
9 Aug 2023, 11:25 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
7 Aug 2023, 12:43 pm
The firm, Commonwealth Financial Network Inc. [read post]
