A former Barclays PLC swaps trader has won about $9 million in back pay that he didn’t receive after quitting the firm during a regulatory investigation.
If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.
A former Barclays PLC swaps trader has won about $9 million in back pay that he didn’t receive after quitting the firm during a regulatory investigation.
The Securities and Exchange Commission (SEC) is ramping up its enforcement efforts targeting off-channel communications, particularly text messages, among investment advisory firms.
B. Riley Financial Inc. has encountered a setback in filing its audited results within an extended timeframe, adding to existing pressure amid concerns raised by short sellers regarding its association with a former business partner.
A former advisor with Wells Fargo Advisors Financial Network (FiNet) in Chicago, Jayson R. Pocius, has agreed to accept an industry bar rather than cooperate with a
Financial Industry Regulatory Authority (FINRA) investigation into allegations of misusing client funds.