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Monday, January 6, 2014. FINRA Cracks Down on Firms Failing to Respond to Red Flags for Suspicious Activity. The Financial Industry Regulatory Authority (FINRA) has expanded its battle against financial firms that fail to respond to red flags indicating suspicious activity in customer accounts. The latest target is a clearing firm, COR Clearing, LLC (formerly known as Legent Clearing, LLC), which was recently hit with a $1 million fine to a clearing firm for failing to detect suspicious account activity.

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Block-Landsman | securitiesfraudlawyers.blogspot.com Reviews

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Monday, January 6, 2014. FINRA Cracks Down on Firms Failing to Respond to Red Flags for Suspicious Activity. The Financial Industry Regulatory Authority (FINRA) has expanded its battle against financial firms that fail to respond to red flags indicating suspicious activity in customer accounts. The latest target is a clearing firm, COR Clearing, LLC (formerly known as Legent Clearing, LLC), which was recently hit with a $1 million fine to a clearing firm for failing to detect suspicious account activity.

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Block-Landsman | securitiesfraudlawyers.blogspot.com Reviews

https://securitiesfraudlawyers.blogspot.com

Monday, January 6, 2014. FINRA Cracks Down on Firms Failing to Respond to Red Flags for Suspicious Activity. The Financial Industry Regulatory Authority (FINRA) has expanded its battle against financial firms that fail to respond to red flags indicating suspicious activity in customer accounts. The latest target is a clearing firm, COR Clearing, LLC (formerly known as Legent Clearing, LLC), which was recently hit with a $1 million fine to a clearing firm for failing to detect suspicious account activity.

INTERNAL PAGES

securitiesfraudlawyers.blogspot.com

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Block-Landsman: November 2013

http://securitiesfraudlawyers.blogspot.com/2013_11_01_archive.html

Tuesday, November 26, 2013. Massachusetts Investment Advisor Who Defrauded Dozens of Investors Ordered to Disgorge $9.8 Million. On November 18, 2013, a U.S. District Court in Massachusetts found that Steven Palladino and his investment advisory firm, Viking Financial Group, perpetrated a fraudulent scheme that raised millions of dollars that were supposed tobe used to make short-term, high interest loans to those unable to obtain traditional financing. Friday, November 22, 2013. Mr Ketchum’s lette...

2

Block-Landsman: FINRA’s High-Risk Broker Initiative Is A Half-Step Measure

http://securitiesfraudlawyers.blogspot.com/2013/11/finras-high-risk-broker-initiative-is.html

Friday, November 22, 2013. FINRA’s High-Risk Broker Initiative Is A Half-Step Measure. On November 13, 2013, FINRA published Mr. Ketchum’s letter to U.S. Senator Edward Markey describing the regulator’s enhanced enforcement strategies that target “rogue brokers.”. The stated goal of FINRA’s recent enhancements, including improvements to its BrokerCheck database and tightening the expungement rules, is to protect investors from the increasing risks of unscrupulous brokers. 16 NFL Players Sue BB&T for $53 ...

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Block-Landsman: June 2013

http://securitiesfraudlawyers.blogspot.com/2013_06_01_archive.html

Saturday, June 29, 2013. StateTrust Investments Ordered to Pay $1.5 Million in Fines and Restitution for Excessive Markups and Markdowns in Corporate Bond Transactions Involving Affiliated Companies. The Financial Industry Regulatory Authority. Brokerage firms are required to charged reasonable markups and markdowns in its transactions with customers, and charging excessive rates does work a fraud and decit against investors. Investors who have questions about their StateTrust brokerage accounts, or ...

4

Block-Landsman: FINRA Cracks Down on Firms Failing to Respond to Red Flags for Suspicious Activity

http://securitiesfraudlawyers.blogspot.com/2014/01/finra-cracks-down-on-firms-failing-to.html

Monday, January 6, 2014. FINRA Cracks Down on Firms Failing to Respond to Red Flags for Suspicious Activity. The Financial Industry Regulatory Authority (FINRA) has expanded its battle against financial firms that fail to respond to red flags indicating suspicious activity in customer accounts. The latest target is a clearing firm, COR Clearing, LLC (formerly known as Legent Clearing, LLC), which was recently hit with a $1 million fine to a clearing firm for failing to detect suspicious account activity.

5

Block-Landsman: September 2012

http://securitiesfraudlawyers.blogspot.com/2012_09_01_archive.html

Thursday, September 20, 2012. Equity Indexed Annuities - Seniors At Risk. Labels: equity indexed securities. Subscribe to: Posts (Atom). Equity Indexed Annuities - Seniors At Risk. Simple theme. Powered by Blogger.

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Block-Landsman

Monday, January 6, 2014. FINRA Cracks Down on Firms Failing to Respond to Red Flags for Suspicious Activity. The Financial Industry Regulatory Authority (FINRA) has expanded its battle against financial firms that fail to respond to red flags indicating suspicious activity in customer accounts. The latest target is a clearing firm, COR Clearing, LLC (formerly known as Legent Clearing, LLC), which was recently hit with a $1 million fine to a clearing firm for failing to detect suspicious account activity.

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Private Banking and Financial Security. Internet and Telephone Banking 2013 - Market Report. Technological revolution has caused significant change in the Internet and telephone banking market in recent years, and is expected to play a key role in shaping it in the future. There has been change to both the users and the overall products. Preserving The Three Kinds Of Family Wealth. Hedge Fund Law Blog Releases Presentation Starting a Hedge Fund in 2009. Evolving Trends in Banking Technology.

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