Tagged with "bankruptcy"

Oil and Gas Industry Sees Wave of Bankruptcies

Posted on October 13th, 2020 at 4:35 PM
Oil and Gas Industry Sees Wave of Bankruptcies

So far this year, 36 North American oil and gas producers have gone bankrupt, according to an article on Law360.

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Platinum Partners’ Hedge Fund Files for Bankruptcy

Posted on November 1st, 2016 at 9:21 AM
Platinum Partners’ Hedge Fund Files for Bankruptcy

Platinum Partners’ flagship fund has filed for chapter 15 protection bankruptcy. Platinum Partners filed for Chapter 15 because its fund had legal operations in the Cayman Islands. 

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SEC Approves New FINRA Background Check Requirements for Reps

Posted on January 14th, 2015 at 11:21 AM

A new FINRA proposal that requires brokerages to strengthen the background reviews they conduct on new hires has been approved by the SEC.

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LATEST NEWS AND ARTICLES

May 1, 2024
FINRA Arbitration Awards Wells Fargo Over $3 Million in Dispute with Ohio RIA Founders

A recent FINRA arbitration decision has ordered a Cincinnati-based registered investment advisor firm and two of its founders to pay Wells Fargo more than $3 million in combined damages.

May 1, 2024
Attorney Eccleston Receives AVVO Top Rated Lawyer Award 2024

 James Eccleston has been officially recognized as a Top Rated Lawyer by Martindale-AVVO.  

April 30, 2024
Commonwealth Financial Network Ordered to Pay $93.3 Million Over Conflicts of Interest

Commonwealth Financial Network has been directed to pay $93.3 million due to its failure to disclose conflicts of interest linked to a revenue-sharing program with a
Fidelity Investments unit.