FINRA Warns Against Settlement Provisions To Silence Whistleblowers
The Financial Industry Regulatory Authority (FINRA) recently issued new guidance cautioning member firms about the use of broad confidentiality provisions…
Read MoreMonth: December 2014
UPDATE: FINRA Arbitration Fee Rate Hike
Last week brought about an increase to the price of bringing a FINRA arbitration. Effective December 15, 2014, various fees…
Read MoreRelationship Matters: Update On Tipper – Tippee Liability; Joseph Bartholomew Alleged Ponzi Scheme; And SEC’s New Fiduciary Rule
"It's All About the Rel', 'bout the Rel', No Problem…" is a Meghan Trainor-inspired musical way to think about two…
Read MoreShustak Reynolds & Partners Investigating Potential Forex Fraud
Shustak Reynolds & Partners is investigating a large potential fraud perpetrated by Michael Atkins, April Samson and others through several…
Read MoreRBC Cuts International Wealth Management Platforms
The Royal Bank of Canada (RBC), parent company of RBC Capital Markets, LLC, a FINRA broker-dealer, recently made widespread cuts…
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