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

Darrell Rideaux Barred During Investigation into Selling Away Allegations
Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme
Advice on Air: Misleading Advertising, Broker Misconduct and the Radio
Cetera's Christopher Kozak Suspended for Undisclosed Outside Business Activity with Nutrition Bar Investments
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

Archives

2020 (67)
2019 (87)
2018 (141)
2017 (138)
2016 (136)
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.