Investment Fraud Lawyer
Home About Your Broker Securities Mediation Common Claims Against Brokers Securities Arbitration
Investor Links Client Recoveries About Us Contact Us Related Links Latest News Investment Fraud Blog
Investment Fraud Video Blog
Main
Securities Arbitration Lawyer

Archive for October, 2008

J.P. Turner Fined $250,000 for Failing to Supervise Commissions Charged on

Friday, October 31st, 2008

J.P. Turner Fined $250,000 for Failing to Supervise Commissions Charged on
Stock Trades
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA)
announced today that it has imposed a $250,000 fine against J.P. Turner &
Company, LLC of Atlanta, GA, for failing to have an adequate supervisory
system designed to ensure that its registered representatives charged
customers fair and reasonable commissions [...]

Securities Fraud Investigation Against Wall Street Firms

Friday, October 31st, 2008

The Guiliano Law Firm Launches Securities Fraud Investigation Against Wall Street Firms
 
Philadelphia, PA (MarketWire) November 6, 2008 – The Guiliano Law Firm, P.C., a leading securities lawyer firm in Philadelphia, Pennsylvania announced today it is actively investigating and pursuing securities fraud claims against certain securities broker-dealers resulting from the risky or unsuitable recommendation of securities.
 
Investment [...]

NASAA NASD U.S. Securities and Exchange Commission bloomberg.com FindLaw Internet Legal Resources MSNBC
Stockbroker Fraud
Copyright © 2008 , Nicholas J. Guiliano, Esquire | Disclaimer