bidv
Categories
- Administrative law (2,171)
- Admiralty-Maritime Law (1,982)
- Advertising Law (1,364)
- Antitrust – Competition law (491)
- Aviation Law (838)
- Banking and Finance law (1,183)
- Bankruptcy Law (833)
- Business law (1,313)
- Constitutional Law (608)
- Contract Law (44)
- Copyright Law (764)
- Corporate Law (849)
- Criminal Law (981)
- Divorce Law (1,242)
- Elder Law (118)
- Employment and Labour Law (444)
- Environmental Law (283)
- Estate Planning (351)
- Family Law (416)
- General Legal News (225)
- Health Law (495)
- Immigration law (319)
- Injury & Accident Law (457)
- Insurance (348)
- Intellectual Property (792)
- International Law (324)
- Judiciary (331)
- Law Librarians (859)
- Law Professors (349)
- Law Students (472)
- Legal Ethics (107)
- Legal Marketing (431)
- Legal Theory (259)
- Medical malpractice law (549)
- Products Liability (351)
- Real Estate & Property Law (369)
- Securities Law (240)
- Tax Law (403)
- Technology & Cyberlaw (583)
- World (729)
- Germany (3)
Tag Archives: Broker
Floor Broker Fined $150,000 by the CFTC for “Spoofing” Wheat CME Futures
Floor Broker Fined $150,000 by the CFTC for “Spoofing” CME Wheat Futures Market The CFTC fined Anuj C. Singhal $150,000 to settle charges for “spoofing” the Chicago Mercantile Exchange (CME) wheat futures market. The relevant period of the offense was … Continue reading
Posted in Administrative law
Tagged “Spoofing”, $150000, Broker, CFTC, FINED, floor, Futures, Wheat
Leave a comment
FINRA Award: UBS & Broker Michael J. Keane to pay $805,000
Claim Alleges Michael J. Keane guilty of fraud, misrepresentation According to the Financial Industry Regulatory Authority (FINRA) website, a hearing panel has awarded a customer of UBS broker Michael J. Keane $805,120 in compensatory damages, plus interest. According to the … Continue reading
Former Broker Jeffery Fanning Suspended From Industry By FINRA
Former Liberty Partners Financial Services broker Jeffery Fanning was recently suspended from the securities industry for six months by the Financial Industry Regulatory Authority (FINRA). Fanning allegedly failed to reasonably supervise potential excessive trading by other representatives at the firm. … Continue reading
Posted in Securities Law
Tagged Broker, FANNING, FINRA, Former, industry, Jeffery, SUSPENDED
Leave a comment
Another Wells Fargo Broker Suspended and Fined by FINRA
Gary Gray, a former Las Vegas-based Wells Fargo broker was suspended from the industry for three months by the Financial Industry Regulatory Authority (FINRA). He was also fined $10,000. Allegedly, Gray exercised discretion in effecting 236 trades in accounts maintained … Continue reading
Posted in Securities Law
Tagged Another, Broker, Fargo, FINED, FINRA, SUSPENDED, Wells
Leave a comment
Mark Kaplan Investigation Update-Arbitration Claim to be Filed vs. Former Vanderbilt Securities Broker
MARK KAPLAN INVESTIGATION UPDATE 3/9/2018 Boca Raton, FL-We are in process of preparing another arbitration claim against Vanderbilt Securities seeking damages for account churning and unsuitable investment recommendations by their former broker Mark Kaplan. Our clients, a family that resides … Continue reading
Posted in Securities Law
Tagged Broker, claim, Filed, Former, Investigation, Kaplan, Mark, Securities, UpdateArbitration, Vanderbilt
Leave a comment
