Margin

Posts In Margin

FINRA Sanctions SoCal Brokers for Failing to Cooperate with Investigations Aug 21
On June 11, 2019, FINRA barred Richard LaBare aka Rick LaBare, a former broker with Union Capital ...
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Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California Jan 25
With 14 customer disputes and millions paid in settlements since 2015 surrounding allegations of ...
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Gross Margin Debt Climbing at an Unsustainable Rate, Placing Investors at Greater Risk May 21
Investing on margin—which means investing funds that are borrowed from a brokerage firm—can look ...
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In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation Apr 03
Months after serving a suspension and paying fines and disgorgment to settle charges that he ...
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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 ...
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FINRA's 2018 Priorities Include Suitability, Cryptocurrency, High-Risk Brokers & Firms, Microcap/Penny Stocks, and Margin Jan 16
FINRA released its annual regulatory and examination priorities letter for 2018 , highlighting ...
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