The Jeffrey Matthews Financial Group, L.L.C. Sanctioned by FINRA for Reg BI Violation
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, The Jeffrey Matthews Financial Group, L.L.C. (CRD # 41282) was recently sanctioned [...]
Yong Soo Kim and Kayan Securities, Inc. Sanctioned by FINRA for Failure to Supervise and Reg BI Violations
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Yong Soo Kim (CRD # 1747849) and broker, Kayan Securities, Inc. (CRD [...]
Alan Mason Suspended from Securities Industry by FINRA for Regulation BI Violation
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Alan Mason (CRD # 1302190) was recently suspended from the securities industry [...]
Joao Pinto Suspended from Securities Industry by FINRA for Reg BI Violation
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joao Pinto (CRD # 6298233) was recently suspended from the securities industry [...]
National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, National Securities Corporation (CRD # 7569) was recently sanctioned by FINRA’s Department [...]
On-Line Trading and Brokerage Firm Liability
Does your brokerage firm have liability for on-line trading losses? Recent occurrences in the retail brokerage industry, including “no commission” trading and the introduction of apps [...]
Have You Lost Money From Your Broker Engaging In Selling Away?
Have you lost money in a “hot new investment with great returns” recommended by your broker just to later find out it wasn’t even a product [...]
NPB Financial Group, LLC Sanctioned by the SEC for Breach of Fiduciary Duty
Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against investment advisory firm, NPB Financial Group, LLC [...]
Chardan Capital Markets, LLC Sanctioned by FINRA for Failure to Supervise Conflicts of Interest
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Chardan Capital Markets, LLC (hereinafter “Chardan”) (CRD # 120128) was recently sanctioned [...]
Regulation Best Interest: A Good First Step for Increased Investor Protection
On June 30, 2020, the Securities and Exchange Commission (“SEC”) began enforcing Regulation Best Interest (“Reg BI”) and the use of the new Client Relationship Summary [...]