Tagged with "witness"

FINRA Discipline: FINRA Rule 9261

Posted on January 24th, 2017 at 8:54 AM
FINRA Discipline: FINRA Rule 9261

This is the eighteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process.

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FINRA Discipline: FINRA Rule 9242

Posted on January 12th, 2017 at 9:20 AM
FINRA Discipline: FINRA Rule 9242

This is the fourteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. 

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If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.