Former LPL Financial advisor Tracy M. Meade agreed to pay a $5,000 fine and serve a 2-month suspension from association with any FINRA member firm in all capacities.
Former LPL Financial advisor Tracy M. Meade agreed to pay a $5,000 fine and serve a 2-month suspension from association with any FINRA member firm in all capacities.
A missing persons report has been filed for Christopher W. Burns, a financial advisor in Atlanta.
New York City REIT Inc. (the “NYC REIT”) has seen a sharp decline in share price over the last couple of months. The NYC REIT, which was started in 2013, had an offering price of $25 when it was first listed on the Nasdaq in August
Meredith A. Simmons, former hedge fund chief compliance officer, settled charges brought by the U.S. Securities and Exchange Commission (“SEC”) that she withheld a compliance record during an SEC examination.
On September 22, 2020, the Commodity Futures Trading Commission (“CFTC”) along with state regulators from 30 states filed a civil action against TMTE Inc., doing business as Metals.com, along with Barrick Capital and Barrick’s principals Lucas Asher and Simon Batashvili.
In FINRA Regulatory Notice 15-50 issued on December 7th, FINRA announced that the SEC approved amendments to FINRA Rule 2210 (Communications with the Public).
After Puerto Rico slipped into default status on their $72 billion debt, U.S. municipal bond fund investors were left exposed to a crumbling financial situation.
Two large financial services firms have entered a heated dispute over the poaching of 60 brokers.
The Connecticut Department of Banking has alleged that former registered broker James Neilsen sold unregistered securities.
FINRA has re-proposed a rule that would require brokerage firms to inform clients of their recruitment practices. If the proposed rule is enacted, brokerage firms would be required to send a disclosure to clients after luring brokers away from competitors with large pay packages.