Checking Out A Broker – FINRA’s Broker-Check
Too often investors learn of their broker’s true background, and past problems, too late. FINRA, the Federal Investor National Regulatory…
Read MoreMonth: January 2015
Oppenheimer to Pay $20 Million to Settle With Regulators For Penny Stock Violations
Oppenheimer & Co has agreed to settle with the SEC and the Treasury Department’s Financial Crimes Enforcement Network (FinCEN) for…
Read MoreFidelity Ordered to Pay $350,000 Fine for Overcharging Customers
The Financial Industry Regulatory Authority (“FINRA”) recently ordered Fidelity Investments to pay a $350,000 fine after determining the firm overcharged…
Read MoreNew FINRA Rules Prohibit Compensation Sharing in the Securities Industry
The Securities and Exchange Commission recently approved the Financial Industry Regulatory Authority’s (FINRA’s) proposed Rule 2040 regarding Payments to Unregistered…
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