Stockbroker fraud is a hot topic these days. Thousands of investors make claims each year about investment scams and Ponzi schemes. In many cases, when the dust settles, the only “deep pocket” is the brokerage firm that facilitated the sale of the investment. Other times, registered reps simply don’t take the time to know their […]
Merrill Lynch Ordered To Pay Couple $1.3 Million – Securities Fraud
by Brian Mahany Every week we scan the arbitration decisions published by the Financial Industry Regulatory Authority (FINRA). Never a week goes by without several brokers being held to task for hurting the very customers that hired them for their financial expertise. Many times the brokers worked for little boiler room operations that simply disappear […]