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18 Oct 2016, 12:00 am
In a decision dated October 14, 2016, in the case of Collins v. [read post]
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]
17 Oct 2017, 12:00 am
In an Investor Bulletin entitled “Initial Coin Offerings” the New York State Securities and Exchange Commission warned investors about the pitfalls of ICO’s (Initial Coin Offerings) also known as token sales to raise capital. [read post]
Prudential Annuities Distributors, Inc. Fined by FINRA for Failing to Detect Variable Annuity Scheme
15 Aug 2016, 12:00 am
In a Press Release dated Tuesday, July 19, 2016, the Financial Industry Regulatory Authority (FINRA) announced a finding against Prudential Annuities Distributors, Inc. for failing to detect forged variable annuity withdrawal requests from a Prudential Annuities variable annuity customer. [read post]
16 Feb 2018, 12:00 am
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 Jun 2016, 12:00 am
In a Decision handed down on April 22, 2016, the Honorable Mark G. [read post]
16 May 2017, 12:00 am
In Regulatory Notice 17-18, the Financial Industry Regulatory Authority (FINRA) issued addressed the obligations of FINRA member firms and persons when utilizing social media and digital communications. [read post]
28 May 2020, 12:00 am
Morgan Stanley Smith Barney Agrees to $5,000,000 Settlement Fund to Benefit Harmed Investors 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]
17 Nov 2017, 12:00 am
In a recent Release, the SEC warned investors about fraudulent schemes involving Over-The-Counter (OTC) stocks. [read post]
2 Aug 2016, 12:00 am
The Financial Industry Regulatory Authority (FINRA) maintains an archive of frequently asked questions regarding the application of FINRA Rule 2080 relating to the disclosure of customer dispute information. [read post]
24 Oct 2017, 12:00 am
In a recent Investor Alert, the Office of Investor Education and Advocacy of the Securities Exchange Commission issued warnings to investors about emerging ponzi schemes utilizing virtual currencies such as Bitcoin to raise money from unsuspecting investors. [read post]
19 Jul 2017, 12:00 am
Where do North American investors go when looking for their state or province specific securities regulators? [read post]
19 Sep 2017, 12:00 am
In a Press Release of September 6, 2017, the Securities Exchange Commission announced charges against a New Jersey based investment adviser, Scott Newsholme, of Farmingdale, New Jersey, alleging that he stole more than $1,000,000 from advisory clients. [read post]
3 Oct 2016, 12:00 am
Claims of FINRA-member firms against their former Registered Representatives now comprise approximately 40% of all claims filed with the FINRA Office of Dispute Resolution. [read post]
7 Feb 2018, 4:00 pm
New York State Investors who have purchased insurance contracts have been subject to unnecessary requirements imposed by replaced insurers on replacing insurers. [read post]
19 Jul 2016, 12:00 am
The Securities and Exchange decision has updated its Investment Advisor Public Disclosure webpage, affording investors easy access to the disciplinary histories of registered investment advisors and individual investment advisor representatives. [read post]
14 Mar 2012, 7:32 am
Eriq Gardner Author of a mystical book says the show's creator may have been given a copy through mutual acquaintance. [read post]
8 Feb 2018, 12:00 am
New York State Investors who have purchased insurance contracts have been subject to unnecessary requirements imposed by replaced insurers on replacing insurers. [read post]
26 Jul 2016, 12:00 am
The Financial Industry Regulatory Authority (FINRA) maintains the Trade Reporting and Compliance Engine (TRACE) vehicle to facilitate the mandatory reporting of bond sales in the United States. [read post]
7 Feb 2018, 4:00 pm
New York State Investors who have purchased insurance contracts have been subject to unnecessary requirements imposed by replaced insurers on replacing insurers. [read post]
