by scottlanelaw | May 8, 2019 | Stockbroker Misconduct
The Consumer Financial Protection Bureau (CFPB) recently issued a stunning report on elder financial exploitation based on Suspicious Activity Reports (SARs) filed by financial institutions. These SARs reports are filed by financial institutions that observe...
by scottlanelaw | Jan 24, 2019 | Stockbroker Misconduct
On November 18, 2018, the Financial Industry Regulatory Authority (FINRA) entered into a settlement with H. Beck, Inc., a brokerage firm headquartered in Rockville, MD, with 406 branch offices nationwide, fining the firm $400,000 and requiring the review and revision...
