Insights
June 26, 2012
A recent Reuters.com article explains the complex details of the new two FINRA rules coming into effect on July 2, 2012. FINRA’s Know Your Customer Rule and Suitability Rule require firms to use...
June 22, 2012
Morgan Keegan must repay over $470,000 in financial losses of a group of RMK Fund investors, according to the June 13, 2012 Order of an arbitration panel of the Financial Industry Regulatory Authority...
June 4, 2012
The SEC approved two proposals to alter trading curbs meant to curtail volatility in the U.S. stock market, according to a Bloomberg.com article . A limit-up/limit-down system that prevents trades at ...
May 15, 2012
A Morgan Keegan broker has been barred from the industry by FINRA, according to an article on onwallstreet.com. Michael Venable, of Tyler, Texas, was barred for life from the financial industry after ...
May 2, 2012
According to a FINRA press release Morgan Stanley, UBS, Wells Fargo and Citigroup have all been fined by the financial regulatory authority. For a year and a half, the firms did not have adequate syst...
March 16, 2012
According to this article on law.com, the Financial Industry Regulatory Authority (FINRA) reported an increase in discplinary actions and fines during the year 2011. FINRA, which oversees brokerage fi...
February 24, 2012
Morgan Keegan must repay the financial losses of three Georgia RMK Fund investors, plus forum costs, according to the January 18, 2012 Order of an arbitration panel of the Financial Industry Regulator...
February 22, 2012
Morgan Keegan must repay the financial losses of fourteen RMK investors, attorneys’ fees and the costs of the proceeding, according to the January 30, 2012 Order of an arbitration panel of the F...
January 15, 2012
According to this news release , Morgan Keegan was ordered by a Financial Industry Regulatory Authority (FINRA) arbitration panel to repay a Georgia charity 115% of its losses in the speculative RMK f...
June 29, 2011
On April 7, 2010, the securities regulators of four states, the United States Securities and Exchange Commission, and FINRA brought charges against Morgan Keegan, Morgan Asset Management, Mr. James Ke...
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