In July of 2010, Congress asked the SEC to consider imposing on brokers who give investment advice to retail clients a “fiduciary duty” standard, which...
The Financial Industry Regulatory Authority ("FINRA") announced today that it has ordered Charles Schwab & Company, Inc., to pay $18 million into a Fair Fund...
Last week, FINRA announced today that it has filed a notice seeking a Temporary Cease and Desist Order (TCDO) against San Antonio-based brokerage Pinnacle Partners Financial...
Today, the Financial Industry Regulatory Authority ("FINRA") said that it fined Goldman, Sachs & Co. $650,000 for failing to disclose that two of its registered...
The following story appeared in the Wall Street Journal on November 8, 2010: A Securities and Exchange Commission investigation of soured Citigroup Inc. debt funds...
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