Posts in September, 2012

After a lengthy investigation that began in 2009 into Merrill Lynch, Pierce, Fenner & Smith's ...

On Sept. 13 2012, the Securities and Exchange Commission (SEC) filed a complaint in federal court, ...

The Financial Industry Regulatory Authority (FINRA) suspended broker Fong I. Cheang of Diamond Bar, ...

After losing his job in April, former Morgan Stanley Smith Barney LLC risk officer, Clifford ...

The Financial Industry Regulatory Authority (FINRA) barred broker Thomas P. Casper, formerly of ...

The Financial Industry Regulatory Authority (FINRA) barred registered principal Jason Robert ...