misconduct

FINRA Broker Disciplinary Action Report March 2016

FINRA Broker Disciplinary Action Report March 2016


Each month and again on a quarterly basis, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. This long list of alleged wrongdoing and misconduct reads a lot like a police blotter. We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities.

Lawsuits Mount over Investor Energy Stocks Losses

Lawsuits Mount over Investor Energy Stocks Losses

The latest stock market bubble burst has left many retail investors with serious losses in their retirement savings. Regulators and securities attorneys who specialize in finance and investing issues have noticed a huge uptick in lawsuits over losses due to overconcentration in the energy sector.