Insights
July 9, 2012
Yet another agency is looking into the dealings of JPMorgan. The United States Federal Energy Regulatory Commission (FERC) is probing into the extremely high derivative losses of JPMorgan, according t...
July 7, 2012
The Los Angeles Times reported that Philip Falcone and his firm, Harbinger Capital Partners, are facing charges of civil fraud and bond price manipulation. The article stated that Falcone and his firm...
July 3, 2012
The SEC has adopted the FINRA communication rule, which has some noticeable changes from the previous NASD rule, according to the article on Mondaq.com. One noticeable change was the consolidation of ...
June 26, 2012
The Eleventh Circuit reinstated an SEC enforcement action against Morgan Keegan & Co., holding that the Northern District of Georgia erred in granting summary judgment. In SEC v. Morgan Keegan &am...
June 26, 2012
According to a recent Reuters.com article, July 2, 2012 will be the launch date for a new FINRA program that will allow more flexibility in large arbitration cases. The new program will be for claims ...
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 30, 2012
The SEC has opened a preliminary investigation into the accounting practices of JP Morgan as well as into the company’s public disclosures about their trading, according to an article in the New...
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...
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