Free Consultation:
(800) 382-7969
An AWC was issued in which the firm was censured and fined $250,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to supervise certain of its registered representatives to ensure their compliance with FINRA rules relating to outside business activities, private securities […]
An AWC was issued in which the firm was censured and fined $110,000. FINRA Issues AWC Concerning Wedbush Securities Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it engaged in trading unit aggregation but failed to ensure that individual traders were assigned to only […]
Panel Discussion Details The panel discussion will cover a range of topics, issues, and procedures critical to arbitrating expungement matters. Participants can expect to gain insights into the preparation and execution of expungement hearings, including best practices for presenting cases and navigating the arbitration process. This session is particularly relevant for legal professionals involved in […]
In recent times, Oppenheimer & Co. has undergone significant changes in its management structure, reflecting the evolving landscape of the financial services industry. The shifts are part of a broader strategy to adapt to new market conditions and client needs, ensuring that the firm remains competitive and continues to provide exceptional service to its clients. […]
Action Taken on 35 of 51 Recommendations to Date Understanding FINRA’s Role in Dispute Resolution The Financial Industry Regulatory Authority today released a status report on the recommendations made in the Dispute Resolution Task Force’s Final Report issued in December 2015. In July 2014, a 13-member task force composed of individuals representing a broad range of interests in securities dispute resolution was […]