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 [...]
Coronavirus Stock Market Crash Will Reveal Broker Fraud
Did you lose money in the stock market due to what investors have dubbed the Coronavirus Stock Market Crash? Indeed, over the past two months the [...]
FINRA Suspends Joseph M. Lawrence, III for Unauthorized Trading
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Joseph Monroe Lawrence, III (CRD # 5605961), formerly with Birmingham, AL based [...]
FINRA Files Disciplinary Proceedings Against Mercer Hicks, III for Unsuitable Recommendations to Seniors
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement has recently brought disciplinary proceedings against broker/adviser Mercer Hicks, [...]