A former RBS Securities broker is under investigation by FINRA for investment fraud.
If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.
A former registered broker and managing director at RBS Securities Inc. pleaded guilty to participating in a multimillion dollar securities fraud scheme between April 2008 and August 2013.
A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.
According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.
The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.