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Financial Advisor IQ
Missouri’s Secretary of State is demanding answers from Finra over its December 2022 halt in trading of meme stock MMTLP, a move that left many investors holding valueless shares after the company went private. The Financial Industry Regulatory Authority is facing a renewed call for answers regarding its December 2022 decision to halt trading of […]
Financial Advisor IQ
Recent legal matters have demonstrated the need for financial services firms to create codes of conduct to address romantic relationships between advisors and their clients.
Financial Advisor IQ
Thousands of LPL customers whose advisors joined from Ameriprise between 2018 and 2020 have received notices from Ameriprise stating that their personal information was impermissibly used by the advisor, LPL says.
InvestmentNews
A three-person Finra arbitration last week hammered UBS Financial Services Inc. when it awarded $92.2 million in damages to a group of nine investors who alleged the firm engaged in a high-risk trading strategy linked to a financial advisor shorting shares of Tesla Inc.
Bakhtiari & Harrison, a premier law firm focusing on representing parties in securities litigation claims and in the FINRA forum, proudly announces a significant victory in a FINRA expungement case. The firm successfully secured an award recommending the removal of defamatory information from the Claimant’s Central Registration Depository (CRD) record, reaffirming its dedication to defending […]