Our law firm is presently investigating Edward Jones' supervisory practices and procedures in connetion with two of the firm's brokers who were allegedly engaged in "selling away" resulting in...
The following story appeared on Bloomberg on September 23, 2011: Hedge fund Oasis Management LLC sued Morgan Stanley for C$9.5 million ($9.3 million) over options...
The following story appeared on Reuters on September 19, 2011: Financial firms would be restricted from betting against the bundled financial products they create and...
Executive Summary FINRA is reminding member firms of the need for heightened supervision over solicitation and research activities in circumstances where an issuer has communicated...
Firms Understated Commissions by Mischaracterizing Portion of Charges as Handling Fees The Financial Industry Regulatory Authority (FINRA) announced this week that it has fined five broker-dealers...
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