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LPL to pay defrauded couple s second FINRA arbitration award

LPL to pay defrauded couple s second FINRA arbitration award
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Commissioner Hester Peirce praises SEC enforcement case

Commissioner Hester Peirce said an enforcement matter relating to a million-dollar fraud case fits a “sound” framework for charging compliance officers.

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Wells Fargo, Wedbush settle FINRA and SEC cases

The orders from FINRA and the SEC respectively fault the firms for unsuitable rollovers and deficiencies exposed in a microcap scheme.

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J P Morgan Chase ordered to pay $4M in FINRA arbitration

Former rep Edward L. Turley has at least five other pending arbitration cases seeking more than $62 million in damages.

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