Posts in January, 2013

FINRA suspended broker Peter C. Bishop and fined him $10,000 after its investigation found he had ...

The Financial Industry Regulatory Authority suspended Marshall Douglas Nelson for allegedly making ...

In the wake of the Massachusetts Securities Division's December 2012 lawsuit against LPL Financial ...

FINRA'S National Adjudicatory Council (NAC) has upheld a FINRA Office of Hearing Officers' (OHO) ...

In September 2012, Apple shares ("AAPL") were valued at more than $700 per share. As of January 25, ...

FINRA suspended broker Douglas Gregory Bezio and fined him $10,000 after discovering Bezio lacked ...