Stock Broker Arbitration Claims Up 49% From 2007
Tuesday, December 2nd, 2008Stock Broker Arbitration Claims Up 49% From 2007
Posts Tagged ‘stockbroker arbitration’
You and the Law: Claims against your financial advisor? (Part 1)
Thursday, November 27th, 2008If your stockbroker sold you improper, excessively risky investments, or — failed to disclose the riskiness of what appeared as an otherwise conservative investment, and as a result you lost your shirt — then today’s story will be especially relevant.
J.P. Turner Fined $250,000 for Failing to Supervise Commissions Charged on
Friday, October 31st, 2008J.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 [...]
