Posts in December, 2015

The CFP suspended advisor David Lawrence Gabai of West Hills, California after discovering that ...

FINRA ordered Barclays Capital, Inc. to pay over $10 million in restitution and $3.75m in fines for ...

Merrill Lynch settled 23 complaints of fraud levied against former broker Thomas Joseph Buck for ...

FINRA fined Cantor Fitzgerald & Co. $6 million and ordered nearly $1.3 in disgorgement in ...

FINRA ordered Fidelity Brokerage Services LLC to pay over $1 million for failing to follow up on red ...

J.P. Morgan Securities and JPMorgan Chase Bank agreed to jointly pay over $300 million to settle SEC ...