FINRA said Oppenheimer representatives executed more than 30,000 non-traditional exchange-traded fund transactions totaling roughly $1.7 billion for customers. Read more
In the ongoing battle to make sure consumers are treated fairly in the arbitration process, lawyers at Beasley Allen recently won an important case in the Alabama Supreme Court. The case, Mu... Read more
Charles Schwab & Co., Inc. – the well-known investment advisor holding more than $2 trillion in assets for millions of investors – is trying in a “sneaky manner” to eviscerate its custom... Read more
The Financial Industry Regulatory Authority (FINRA) has fined Guggenheim Securities, LLC of New York $800,000 for failing to supervise two collateralized debt obligation (CDO) traders who en... Read more
The Financial Industry Regulatory Authority (FINRA) has fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $2.8 million for supervisory failures that resulted in overcharging customers $... Read more
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Charles Schwab & Company, charging the firm with violating FINRA rules by requiring its customers to wa... Read more
Larry Hagman, the actor who played the role of J.R. Ewing in the 1980s TV show Dallas, has won his case against Citigroup Inc. The bank was ordered to pay over $11 million in damages. The to... Read more
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