Posts in FINRA

Jun 30 FINRA Annual Report Shows 44% Increase in Fines in 2020

The Financial Industry Regulatory Authority (FINRA) released its 2020 annual report late last week showing a number of intriguing ...

May 12 The Importance of a FINRA BrokerCheck

Have you ever considered investing your money? Not sure where to start when it comes to selecting a financial advisor? We get it. ...

Jan 17 GPB Capital Products Sold to Conservative Investors Seeking Income From Their Retirement

Dec 01 Pursuing $1.4 Million in Multiple Claims of Puerto Rican Bond Sales by RBC

Vernon Litigation Group Joins Legal Team Pursuing $1.4 million in Multiple FINRA Arbitration Claims of Puerto Rican Bond Sales by ...

Jan 09 FINRA Takes Disciplinary Action Against Firm for 16th Time in 20 Years

According to a recent Investment News article , the primary regulator of brokerage firms (FINRA) just took disciplinary action ...

May 02 Abuses in the Bond World Relate to Lack of Transparency and Conflicts of Interests

Last month’s FINRA Disciplinary Actions (April 2017) triggered this bond focused post. In April of 2017, FINRA took disciplinary ...