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 [...]
Social Media Driven Stock Market Frenzy – Securities Fraud In the Digital Age
GameStop Corp. (GME), AMC Entertainment Holdings (AMC) and BlackBerry Ltd. (BB) have seen their stock prices rise dramatically over the past few weeks after being the [...]
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Sanctioned by FINRA for Failure to Supervise
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer(s), Wells Fargo Clearing Services, LLC (CRD # 19616) and Wells Fargo Advisors [...]
Wells Fargo Advisors, LLC Sanctioned by FINRA for Failure to Supervise
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Wells Fargo Advisors, LLC (hereinafter “Wells Fargo”) (CRD # 19616) was recently [...]
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 [...]
Morgan Stanley Smith Barney LLC Sanctioned by FINRA for Failure to Supervise
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Morgan Stanley Smith Barney LLC (hereinafter “Morgan Stanley”) (CRD # 149777) was [...]
George L. Taylor Barred from the Securities Industry by the SEC
Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against broker/investment advisor, George L. Taylor (CRD # [...]
The SEC Revokes the Registration of Investment Advisory Firm Temenos Investment Advisory, Inc.
Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against investment advisory firm, Temenos Advisory, Inc. (CRD [...]
Robert Russel Tweed Barred by the SEC from the Securities Industry
Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against broker/adviser, Robert Russel Tweed (CRD # 2339324) [...]
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 [...]