Tag Archives: Sanction

Sanction First; Hearing Never

The Maryland Court of Appeals has disbarred an attorney without a hearing based on a federal conviction This attorney discipline proceeding involves a lawyer who, in the words of the United States Court of Appeals for the Fourth Circuit, “concocted… … Continue reading

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What to Know About New FINRA Sanction Guidelines

FINRA Recently Announced Revisions to its Sanction Guidelines On May 2, 2018, The Financial Industry Regulatory Authority (FINRA) announced revisions to its Sanction Guidelines to reflect changes to General Principle No. 2.  FINRA now advises that when the current violation and … Continue reading

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Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales

Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. May 2018 According to a FINRA News Release,  Fifth Third Securities was fined $4 million and required to pay $2 million in restitution for failing to appropriately consider … Continue reading

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Supreme Court Reviews Minnesota Sanction on Political Clothing

When voters venture to local polling place, must they temporarily forfeit their constitutionally-guaranteed right to express their political beliefs? Federal courts around the country remain divided, but the U.S. Supreme Court will weigh in on the question by the end … Continue reading

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EU to sanction Ivory Coast over non-compliance with election results

[JURIST] The Council of the EU [official website] adopted a decision Monday to institute sanctions [official statement, PDF] against the Ivory Coast. There has been unrest in the country [JURIST report] since elections were held at the beginning of this … Continue reading

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