Month: March 2017

Not So Fast My Friend: Raymond James Suspends Manager Frank Amigo Following Testimony In EB-5 Fraud Case

By George C. Miller — posted in Regulatory Enforcement & Investigations on Monday, March 27, 2017.

Disciplinary Actions

In 2016, the Securities and Exchange Commission announced fraud charges against [...]

FINRA Expels Red River Securities

By Erwin J. Shustak — posted in Regulatory Enforcement & Investigations on Tuesday, March 14, 2017.

Enforcement Actions FINRA

A recent decision by a federal appellate court has cast doubt on whether decisions by SEC administrative judges are [...]

SEC ADMINISTRATIVE JUDGES- ARE THEY CONSTITUTIONAL?

By Erwin J. Shustak — posted in Securities Arbitration & Litigation on Monday, March 6, 2017.

A recent decision by a federal appellate court has cast doubt on whether decisions by SEC administrative judges are [...]

RBC Reportedly Considering Sale Of Asian Wealth Management Business

By George C. Miller — posted in Financial Industry Developments on Wednesday, March 1, 2017.

Financial Services Industry

The Royal Bank of Canada (RBC) is reportedly reviewing [...]