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29 Oct 2018, 5:00 pm
Have you been unfairly deprived of an anticipated inheritance by way of trickery or deceit on the part of another party? [read post]
29 Oct 2018, 12:00 am
Have you been unfairly deprived of an anticipated inheritance by way of trickery or deceit on the part of another party? [read post]
3 Oct 2017, 12:00 am
At its annual conference held in Washington, DC in May of this year, FINRA included a session to provide guidance for practices at FINRA member firms regarding the use of emerging technology in compliance and operations. [read post]
11 Aug 2016, 12:00 am
The SEC and Financial Industry Regulatory Authority (FINRA) announced an assessment of a $5,000,000 fine against Merrill Lynch for misleading information relating to its strategic return notes. [read post]
28 May 2020, 5:00 pm
In a release dated May 12, 2020, the Securities Exchange Commission announced that Morgan Stanley Smith Barney agreed to settle charges that it provided misleading information to clients in its Retail Wrap Fee Programs regarding trade execution services and transaction costs. [read post]
16 Feb 2010, 3:40 am
Martin v Secretary of State for Work and Pensions Court of Appeal “The value of a property in France held by a social security recipient living in France could be included in his capital, thus depriving him of his benefit even if the property was held on trust for a third party since an implied trust was unknown in French law. [read post]
30 Aug 2016, 12:00 am
In an investor alert and bulletin dated July 18, 2016, the United States Securities and Exchange Commission Office of Investor Education and Advocacy noted the following red flags to help senior investors identify possible fraudulent schemes which have been targeting seniors. [read post]
15 Feb 2018, 4:00 pm
The market volatility of the first half of February of this year has seen small investors lose hundreds of millions of dollars in VIX ETF’s they should never have been invested in the first place. [read post]
28 May 2020, 5:00 pm
In a release dated May 12, 2020, the Securities Exchange Commission announced that Morgan Stanley Smith Barney agreed to settle charges that it provided misleading information to clients in its Retail Wrap Fee Programs regarding trade execution services and transaction costs. [read post]
5 Apr 2012, 7:06 am
After moving more and more toward being a "hawk" on immigration enforcement, presumptive Republican Presidential nominee Mitt Romney closed the deal in Wisconsin by attacking President Obama for failing to get Congress to pass comprehensive immigration reform. [read post]
4 Nov 2016, 12:00 am
In a Decision dated November 3, 2016, in the case of Taylor v. [read post]
27 Mar 2018, 5:00 pm
In a Press Release dated December 27, 2017, New York State Governor Andrew Cuomo announced proposed Department of Financial Services regulations which would require that life insurance and annuity sales in New York State to meet a “Best Interest” Standard. [read post]
13 Sep 2016, 12:00 am
In a recent investor alert, the Financial Industry Regulatory Authority (FINRA) issued an Investor Alert warning investors of the problems associated with non-traded Real Estate Investment Trusts (REIT’s). [read post]
20 Sep 2016, 12:00 am
The SEC announced in a press release dated June 8, 2016 that Morgan Stanley Smith Barney, LLC has agreed to pay a $1 million penalty to settle charges relating to alleged failures to protect confidential customer information. [read post]
26 Jul 2017, 12:00 am
Many brokerage firms have been promoting non-purpose loans, resulting in abusive sales practices and supervisory violations associated with the aggressive marketing of these lending arrangements. [read post]
18 Feb 2025, 9:46 am
The past decade has seen an explosive growth in the number of investors who utilize their securities brokerage accounts, both retirement-type accounts and non-retirement accounts as the centerpiece of their estate planning strategy, oftentimes without consulting competent legal counsel, as well as without following up with brokerage-specific forms available to designate death beneficiaries for… Source [read post]
12 Jul 2016, 12:00 am
The Financial Industry Regulatory Authority (FINRA) maintains a comprehensive archive of frequently asked questions regarding a registered person’s reporting obligations with respect to mandated Forms U4 and U5. [read post]
15 Feb 2018, 4:00 pm
The market volatility of the first half of February of this year has seen small investors lose hundreds of millions of dollars in VIX ETF’s they should never have been invested in the first place. [read post]
27 Sep 2017, 12:00 am
Do you have an inherited IRA? [read post]
29 Nov 2017, 12:00 am
The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC $3.4 Million as required restitution relative to unsuitable recommendations involving volatility-linked Exchange Traded Products (ETP’s) and related supervisory failures related to these investments. [read post]
