Insights
March 19, 2015
Bulltick, LLC of Miami, Florida submitted an AWC in which the firm was censured and fined $20,000. Despite not admitting or denying FINRA’s findings, Bulltick consented to the sanctions and to t...
March 12, 2015
FINRA announced today that it has ordered Brookville Capital Partners, LLC of Uniondale, New York to pay restitution of over $1 million to the victims of a fraud relating to the sales of a private pla...
March 4, 2015
Alabama stockbroker and supervisor Terry Bagwell submitted a Letter of Acceptance, Waiver, and Consent (“AWC”), accepting and consenting to FINRA’s findings that he violated the regulatory authority’s...
February 20, 2015
FINRA doubled its enforcement haul in 2014 by collecting about $134 million in sanctions, leading attorneys to wonder if the trend will lead to bigger fines in the future. During the past year, the re...
February 17, 2015
This month, FINRA released to publications pertaining to cybersecurity risks at financial firms. The Report on Cybersecurity Practices presents the findings of FINRA’s 2014 investigation of cybe...
February 13, 2015
Arque Capital, Ltd. submitted a letter of acceptance, waiver, and consent in which the firm was censured and fined $50,000. Arque Capital did not admit or deny the findings but consented to the penalt...
December 31, 2014
Yesterday, FINRA fined Monex Securities Inc. $1.1 million plus interest in disgorgement of commissions obtained by unregistered foreign individuals who sold securities for the firm. FINRA imposed an a...
October 16, 2014
The SEC adopted a rule that will allow securities arbitrators to immediately disclose frauds that have the potential to threaten the investing public when they learn of such frauds in the midst of a c...
September 15, 2014
FINRA issued a new investors alert, this time warning investors considering funds that invest in frontier markets to take note of the large risk associated with these markets. Although no set definiti...
September 5, 2014
The United States Court of Appeals for the second circuit ruled this week that a forum-selection clause in Goldman Sachs and Citigroup contracts preempts their responsibility under FINRA rules to arbi...
August 18, 2014
Resources Know your rights, the relevant laws, and what questions to ask BEFORE you agree to an investment America’s individual and institutional investors have suffered enormous financial losses in r...
July 30, 2014
On Monday, FINRA charged a New York broker-dealer, as well as a number of current and past registered representatives, with churning customer accounts and other illicit actions the resulted in signifi...
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