Posts In Clearing Firm Liability

SEC Fines LA-Based Electronic Transaction Clearing $80,000, Issues Cease-And-Desist Order for Margin Securities Failures Mar 21
The Securities and Exchange Commission initiated cease-and-desist proceeding against Electronic ...
View Article
Pershing LLC Fined $3 Million for Supervisory, Customer Protection Violations Jan 07
FINRA fined clearing firm Pershing LLC $3 million for violating the SEC Customer Protection Rule ...
View Article

Most Popular

FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients
SEC Bars Securities America Broker Ronald J Roach over $1 Billion DC Solar Fraud and Ponzi Scheme
FINRA Fines Scottsdale Capital Advisors $1.5 Million, Bars John Hurry, Suspends Timothy DiBlasi & D Michael Cruz in Illegal $1.7 Million Cayman Islands Microcap Sales Scheme
After SEC Fraud Charge, FINRA Bars Robert Tweed for Making False Statements to Obtain $1.6 Million in Athenian Fund LP
SEC Adds Misappropriation to Sports Advisor Ash Narayan's Fraud Charge in Amended Complaint

Archives

2020 (6)
- January (6)
2019 (88)
2018 (142)
2017 (138)
2016 (137)
2015 (124)
2014 (129)
2013 (163)
2012 (102)

888-527-3427
818-760-9880

Local Office

12711 Ventura Boulevard
Suite 440
Studio City, CA 91604
Map & Directions [+]

Quick Links

Attorney Profiles
Testimonials
Recoveries Obtained
Site Search
Contact Us
Video Center
Securities Fraud Blog
Privacy Policy
Site Map

The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.