Brokerage Firms and FINRA Crack Down on Broker Expense Account Violations
In a growing number of high profile cases, often involving major producers and star brokers at major wire houses, the…
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Smaller Brokerage Firms Failing to Pay FINRA Arbitration Awards
In a concerning trend, Investment News recently reported that smaller brokerage firms are increasingly walking away [...]
Read MoreThe Top 25 Independent Brokerage Firms By Revenue
Investment News released a list today of the top 25 independent broker-dealers ranked by 2014 total revenues, with LPL Financial…
Read MoreDoes A Brokerage Firm Really Need An Attorney?
"I hate weekends because there is no stock market." Renee Rivkin Renee Walter Rivkin should have enjoyed the weekends more.…
Read MoreFINRA Update: Should Broker-Dealers Be Required To Carry Insurance?
the Financial Industry Regulatory Authority (FINRA), Wall Street’s largest self-regulatory agency, announced it would consider whether broker-dealer firms should be…
Read MoreShustak Reynolds & Partners Obtains Pre-Hearing Dismissal Of Finra Arbitration Claim On Behalf Of Broker-Dealer Client
San Diego, CA – Shustak Reynolds & Partners, P.C., of San Diego, New York and San Francisco announces that it…
Read MoreNew SEC/FINRA alert on Broker-Dealer Branch Inspections and Broker Supervision
On November 30, 2011, the Securities Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) issued a Regulatory Risk…
Read MoreLandscape is changing for broker-dealers
Traditional broker-dealer business continues to change rapidly, making it more difficult, and more expensive for the small, as well as…
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