Pro basketball player Chandler Parsons files suit against Morgan Stanley Wealth Management for $5 Million https:// www.whitesecurit ieslaw.com/ 2021/02/26/ morgan-stanley-h it-5-million-fi nra-lawsuit/ #finra #securitiesattor ney
Brokerages firms ask FINRA to revise rules and relax its requirements for in-person personnel supervision https:// www.whitesecurit ieslaw.com/ 2021/02/17/ member-firms-ask -finra-redefine -supervision-wo rking-remotely/ #securitiesattor ney #finra #supervision
HSBC Securities Censured and Fined $650K for Supervisory Failures https:// www.whitesecurit ieslaw.com/ 2021/02/04/ finra-fines-hsbc -securities-650 k-for-improper- fingerprinting/ #finra #securitiesattor ney
FINRA fines Goldman Sachs $1.25M for Failing to Fingerprint Reps https:// www.whitesecurit ieslaw.com/ 2021/01/26/ finra-fines-gold man-sachs-1-25m -for-failing-to -fingerprint-re ps/ #finra #securitiesattor ney
SEC Updates PAUSE, List of Firms Using Inaccurate Information to Solicit Investorshttps:// www.whitesecurit ieslaw.com/ 2021/01/21/ sec-updates-list -of-unregistere d-entities-soli citing-investor s/ #SEC #securitiesattor ney
Former Wells Fargo Rep John Greg Schmidt Ordered to Pay $3M while Serving 5 years for alleged Ponzi Scheme.… https://t.co/fJjCUocQPe
VALIC Financial Advisors has agreed to Sanctions for Failure to Supervise VA Exchanges https://t.co/4anvXIegWl #finra #securitiesattorney
Morgan Stanley’s Supervisory Failures result in almost $1.4 Million in Overcharges https://t.co/2wbJIwecIq #finra… https://t.co/AvGvRzjrSW
Pruco Securities to pay $18 Million for Overcharges, The SEC Sanctions Pruco Securities for Alleged Breach of Fiduc… https://t.co/4fsNsYEdzf
Voya Financial Advisors Inc. to pay $23 Million for Customer Overcharges https://t.co/4lcTSychHf #securitiesattorney https://t.co/r1n4IliwK9
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