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Posts Tagged ‘investment fraud’

Busted brokers continue bilking clients at new firms

Monday, December 8th, 2008

Busted brokers continue bilking clients at new firms
Broker-dealers don’t blow the whistle loud enough, observers say

You and the Law: Legal claim against stockbroker

Thursday, November 27th, 2008

You and the Law: Legal claim against stockbroker

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 [...]

FINRA Publishes Guidance, Text for New Rule Governing Deferred Variable Annuity Transactions

Thursday, November 15th, 2007

Washington, DC

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