How To File A Claim With FINRA
In order to begin the arbitration process, a party should [...]
FINRA Warns Against Leveraged ETFs
Several brokerage firms have stopped selling leveraged exchange traded funds [...]
What Is FINRA?
The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory [...]
Jefferies Agrees To Pay $25 million For Mortgage Backed SecuritiesViolations
The Securities and Exchange Commission has charged global investment bank [...]
JP Morgan Settles Suit Over Toxic Mortgage Backed Securities for $400 Million
US banking giant JPMorgan Chase has agreed to pay USD [...]
RBS reaches $275 million mortgage-backed securities settlement
On Feb. 19, RBS officials announced that the company had [...]
The Commodity Futures Trading Commission Investigating Managed Future Funds
The Commodity Futures Trading Commission (CFTC) is investigating the sky [...]
Securities and Investment Lawyers Petition Congress For More Disclosures From FINRA’s BrokerCheck
A group of securities and investment attorneys has asked Congress [...]
Morgan Stanley Says $111M MBS Suit Distorts Contract Terms After Failure Of Own Underwriting
A Morgan Stanley subsidiary on Tuesday argued that a New [...]
U.S. Supreme Court Limits SLUSA; Allows State-Law Securities Class Actions to Proceed
On February 26, 2014, the Supreme Court decided Chadbourne & [...]
Countrywide Alleges Fraud and Misrepresentations Claims Against It Are Time Barred
Countrywide Financial group is urging a California court to dismiss [...]
Scottrade Admits to Wrongful Record Keeping
Last week, Scottrade Inc. became the latest entity to admit [...]
CFTC Investigates Managed Futures Fees
In October 2013, Bloomberg.com published an article titled “How Investors [...]
Insider Trading at Microsoft
Civil and criminal charges have been filed against a Microsoft [...]