The Financial Industry Regulatory Authority (FINRA) announced that it has fined Oppenheimer & Co., Inc. $675,000 for charging unfair prices in municipal securities transactions and for failing to ...More
Our law firm is investigating the sales practices of John Thomas Financial in connection with the solicitation of Liberty Silver Corp. (OTC: LBSV) shares to its customers. In January, FINRA sent a Wel...More
Losses at David Lerner Associates? Contact KlaymanToskes National investment loss lawyers KlaymanToskes continues its investigation of David Lerner Associates (“DLA”) and is currently pursuing FIN...More
Investment Losses at Orion Wealth or Newbridge Securities? Contact KlaymanToskes National investment fraud lawyers KlaymanToskes is investigating Orion Wealth Management CEO Antoine Devon Shamlee (CRD...More
The Financial Industry Regulatory Authority (“FINRA”) announced today that it has expelled Biremis, Corp., formerly known as Swift Trade Securities USA, Inc., and barred its President and ...More
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citi International Financial Services LLC, a subsidiary of Citigroup, Inc., $600,000 and ordered more than $648,00...More
The Financial Industry Regulatory Authority (“FINRA”) announced that trader Robert T. Bunda, of Frankfort, Illinois, has been suspended for 16 months, fined $175,000 and is required to pay...More
The Financial Industry Regulatory Authority (“FINRA”) announced last week that it fined New York-based Trillium Brokerage Services (“Trillium”) $1 million for using an illici...More
